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Monthly Report to Congress
December 2017
January 10, 2018
Troubled Asset Relief Program
U.S. Department of the Treasury
Table of Contents
Section
Program Updates
Capital Purchase Program
Community Development Capital Initiative
Making Home Affordable
Hardest Hit Fund
Lifetime Costs
CPP & CDCI Institutions
Administrative Obligations and Expenditures
Agreements under TARP
Insurance Contracts
Transactions Report
Investment Programs
Home Affordable Modification Program
Projected Costs and Liabilities
Programmatic Operating Expenses
Description of Vehicles Established
HAMP Application Activity by Servicer
1
Page Number
1
1
2
3
4
5
6
8
9
13
14
14
63
163
164
165
166
Legislative Requirement 1
EESA §105(a)(1)
Additional Information
EESA §105(a)(2)
EESA §105(a)(3)(A)
EESA §105(a)(3)(B)
EESA §105(a)(3)(C,D,G)
EESA §105(a)(3)(E)
EESA §105(a)(3)(F)
EESA §105(a)(3)(H)
Dodd-Frank §1483(b)
EESA (Emergency Economic Stabilization Act of 2008); Dodd-Frank (Dodd-Frank Wall Street Reform and Consumer
Protection Act).
Capital Purchase Program (CPP)
CPP Snapshot
Total Institutions Funded
Full Repayments
SBLF Repayments
CDCI Conversions
Sold Investments
Auctioned Investments
In Bankruptcy/Receivership
Merged Institutions
Total Remaining Institutions
Partial Repayments
Partial Sales
Currently in Common2
December 2017 Activity
Institution
707
263
137
28
46
190
33
4
6
0
1
1
Date
Total CPP Proceeds1
$226.8 billion
$196.61
$200
$150
$100
$50
$-
$3.04
Repayments
Auctions
$19.03
Total
Dividends,
Interest &
Other Income
Additional Information
Warrant
Income
Amount
Repurchases & Sales
None
Warrant Repurchases & Sales
Severn Bancorp, Inc.
$8.07
$0
12/20/2017
$520,000
$520,000
Repurchased
Monthly Dividends
$0
Remaining CPP Institutions
1
2
3
4
5
6
Institution
Location
OneFinancial Corporation
OneUnited Bank
Harbor Bankshares Corporation
Pinnacle Bank Holding Company, Inc.
Broadway Financial Corporation3
St. Johns Bancshares, Inc.
Little Rock, AR
Boston, MA
Baltimore, MD
Orange City, FL
Los Angeles, CA
St. Louis, MO
Amount Outstanding
(millions)
$17.30
$12.06
$6.80
$4.39
$3.98
$3.00
1
Repayments: Actual collections as of December 31, 2017, including (i) $2.21 billion in CPP investments refinanced under the Small Business
Lending Fund (SBLF), a program created by Congress outside of TARP under which certain CPP institutions were allowed to repay TARP funds by
borrowing under that program, and (ii) $0.36 billion in exchanges of CPP investments into the Community Development Capital Initiative (CDCI), as
permitted under the terms of that program. Auctions: Includes net proceeds from all auctions of CPP preferred and note securities where cash has
settled with OFS as of December 31, 2017. Warrant Income: Net Proceeds. Includes proceeds from exercised warrants.
2
Institutions where Treasury has converted its original investment at a discount into shares of common stock in the institution.
3
On August 22, 2013, Treasury exchanged its preferred stock in Broadway Financial Corporation (Broadway) for 10,146 shares of common stock
equivalent representing 50% of the liquidation preference of the preferred stock, plus 100% of previously accrued and unpaid dividends on the
preferred stock. On December 5, 2013, Treasury's 10,146 shares of common stock equivalent in Broadway converted to 10,146,000 shares of
common stock. On December 22, 2016, Treasury sold part of its CPP common stock (4,702,860 shares) to Broadway Financial Corporation, First
Republic Bank, and Broadway Federal Bank, f.s.b Employee Ownership Trust. On June 28, 2017, Treasury sold part of its CPP common stock
(1,832,092) to Pacific Western Bank and Community Bank. On September 21, 2017, Treasury sold part of its CPP common stock (916,046) to
Pacific Premier Bank.
1
Community Development Capital Initiative (CDCI)
CDCI Snapshot
Total Institutions Funded
Full Repayments
Early Repurchase
In Bankruptcy/Receivership
Merged Institutions
Total Remaining Institutions
Partial Repayments
Partial Early Repurchase
Currently in Common
December 2017 Activity
Institution
84
37
24
1
1
21
2
2
1
Date
Additional Information
Amount
Repurchases
None
$0
Monthly Dividends
$0
Top 10 Remaining CDCI Institutions
Institution
1
2
3
4
5
6
7
8
9
10
Location
1
Carver Bancorp, Inc
First American International Corp.
IBC Bancorp, Inc.
Hope Federal Credit Union
Community Bank of the Bay
Carter Federal Credit Union
Cooperative Center Federal Credit Union
Tri-State Bank of Memphis
Community First Guam Federal Credit Union
Opportunities Credit Union
New York, NY
Brooklyn, NY
Chicago, IL
Jackson, MS
Oakland, CA
Springhill, LA
Berkeley, CA
Memphis, TN
Hagatna, GU
Burlington, VT
Amount Outstanding
(millions)
$18.98
$17.00
$8.09
$4.52
$4.06
$3.80
$2.80
$2.80
$2.65
$1.09
1
On October 28, 2011, Treasury completed the exchange of all Carver Bancorp, Inc. (Carver) preferred stock held by Treasury for 2,321,286 shares of Carver common stock, pursuant to the
terms of the agreement between Treasury and Carver entered into on June 29, 2011. Accrued and previously unpaid dividends were paid on the date of the exchange.
2
Making Home Affordable (MHA)
Program Update1
The Consolidated Appropriations Act, 2016, signed into law on December 18, 2015, provided that the MHA Program
would terminate on December 31, 2016, except with respect to certain loan modification applications made before
such date. As set forth in program guidelines, MHA servicers were required to design policies and procedures to
reasonably ensure that all MHA transactions were completed by December 1, 2017.
As of December 31, 2017, $23.4 billion of MHA funds have been committed for existing MHA transactions. Of this
amount, $18.4 billion has been disbursed and $5.0 billion is committed for the payment of future financial incentives.
In total2, more than 2.9 million homeowner assistance actions have taken place under MHA programs. These include
permanent first and second lien mortgage modifications, completed short sales and deeds-in-lieu of foreclosure, and
unemployment forbearance plans.
HAMP Activity through November 2017
All Trials Started
Tier 1
Trial
Tier 2
Modifications
Streamline HAMP
Trials Reported Since Last Report
Active Trials
All Permanent Modifications Started
Tier 1
Tier 2
Permanent
Streamline HAMP
Modifications
Permanent Modifications Reported Since Last Report
Active Permanent Modifications
Median Monthly Savings
2,537,582
2,239,609
237,570
60,403
283
1,719
1,734,647
1,473,015
217,704
43,928
949
887,926
(465.93)
$
Other MHA Program Activity through November 2017
Program-to-Date
FHA and RD-HAMP Permanent Modifications Started
2MP Modifications Started
HAFA Transactions Completed
3
UP Forbearance Plans Started
149,117
166,351
475,270
46,485
Reported Since
Prior Period
166
85
1,113
N/A
1
For more information about Treasury’s housing programs, please visit: http://www.treasury.gov/initiatives/financial-stability/TARPPrograms/housing/Pages/default.aspx.
2
Program Total Includes: Government Sponsored Enterprise (GSE) and Non-GSE HAMP permanent modifications; FHA- and RD-HAMP
modification; and GSE Standard Modifications since October 2011 under the GSEs’ Servicer Alignment Initiative as reported by the GSEs to
Treasury. HAFA Transactions Completed in the ‘Other MHA Programs’ table includes both GSE and Non-GSE HAFA transactions completed,
including those completed by the GSEs since the GSEs jointly streamlined their short sale and deed-in-lieu of foreclosure programs in November
2012. The GSE Standard HAFA program is closely aligned with Treasury’s MHA HAFA program.
3
The Unemployment Program Survey was collected monthly through December 2016.
3
Hardest Hit Fund (HHF)
Program Changes in December
None
Funds Drawn Down in December
State
Florida
Georgia
New Jersey
Total Drawn to Date
Amount (millions)
70
73
51
8,720
$
$
$
$
Funds Drawn as of December 31, 2017
State (% Cap Disbursed)
$0.00
Alabama (52.9%)
Arizona (88.3%)
$1,250,000,000.00
$86,000,000
$2,500,000,000.00
Drawndown
$261,280,261
California (99%)
Washington D.C. (80.8%)
$2,334,275,483
$23,234,860
Florida (97.3%)
Georgia (92.2%)
$1,105,436,884
$341,427,278
Illinois (82.3%)
Indiana (89.3%)
Kentucky (89.1%)
$588,619,080
$253,306,647
$184,500,000
Michigan (85.5%)
Mississippi (73.7%)
$650,846,547
$106,338,832
North Carolina (86.6%)
New Jersey (90.7%)
Nevada (67.2%)
$611,723,211
$376,513,704
$136,435,596
Ohio (96.4%)
Oregon (89%)
Rhode Island (80.1%)
South Carolina (100%)
Tennessee (77.9%)
Remaining
$734,762,067
$280,042,786
$92,851,573
$317,461,821
$235,315,593
4
Lifetime Costs
Program Update
When Congress created TARP, it authorized up to $700 billion for the programs. That authority was later reduced to $475 billion. To date, a total of
$438.9 billion has been disbursed under TARP. As of December 31, 2017, cumulative collections under TARP, together with Treasury’s additional
proceeds from the sale of non-TARP shares of AIG,¹ total $442.5 billion, exceeding disbursements by $3.7 billion.² Treasury estimates that the
combined overall cost of TARP will be approximately $32.3 billion. These estimates do not include Treasury’s additional proceeds from its non-TARP
AIG shares. For a monthly snapshot of the amount of funds obligated, the amount disbursed, repayments, income received and any losses by program,
please visit the Monthly TARP Update at: http://www.treasury.gov/initiatives/financial-stability/reports/Pages/daily-tarp-reports.aspx.
Programs as of December 31, 2017 (dollar amounts in billions)
Obligation/
Commitment
Bank Support Programs:
Capital Purchase Program (CPP):
Citigroup
Other banks with assets $10 billion or greater
Banks with assets less than $10 billion4
Total
Targeted Investment Program (TIP)
Asset Guarantee Program (AGP)5
Community Development Capital Initiative (CDCI)
Credit Market Programs:
Public-Private Investment Program (PPIP):
Equity
Debt
Total
Term Asset Backed Securities Lending Facility (TALF)
Purchase SBA 7(a) Securities (SBA)
Other Programs:
American International Group (AIG):
Preferred Stock
Common Stock
Total
Disbursed as of
December 31
Outstanding
Investment
Balance as of
December 31
$
$
$
$
$
$
$
25.00
165.33
14.57
204.89
40.00
5.00
0.57
$
$
$
$
$
$
$
25.00
165.33
14.57
204.89
40.00
0.00
0.57
$
$
$
$
$
$
$
0.05
0.05
0.07
$
$
$
$
$
$
$
(6.89)
(10.24)
0.81
(16.32)
(4.00)
(4.00)
0.07
$
$
$
$
$
6.25
12.38
18.63
0.10
0.37
$
$
$
$
$
6.25
12.38
18.63
0.10
0.37
$
-
$
$
$
$
$
(3.06)
0.33
(2.73)
(0.61)
(0.00)
$
$
$
20.29
47.54
67.84
$
$
$
20.29
47.54
67.84
$
$
-
$
$
$
15.18
15.18
Automotive Industry Financing Program (AIFP)
$
79.69
$
79.69
$
-
$
12.16
Sub-total for Investment Programs6
$
417.09
$
411.72
$
0.12
$
(0.25)
Making Home Affordable
Hardest Hit Fund7
FHA-Refinance8
Sub-total for Housing Programs
$
$
$
27.78
9.60
0.05
$
$
$
18.40
8.72
0.02
n/a
n/a
n/a
$
$
$
22.98
9.60
0.02
$
37.42
$
27.14
n/a
$
32.60
$
454.51
$
438.86
0.12
$
32.35
n/a
$
(17.55)
0.12
$
14.80
Total for TARP Programs
n/a
Additional AIG Common Shares Held by Treasury9
Total for TARP Programs and Additional AIG Shares
$
454.51
$
$
$
$
n/a
$
438.86
$
1
For more information, see note 10 to the Monthly TARP Update: http://www.treasury.gov/initiatives/financial-stability/reports/Pages/daily-tarp-reports.aspx
2
Treasury is continuing to disburse funds related to its housing programs, and continuing to recoup its outstanding investments.
3
Estimated Lifetime
Cost as of
September 30 3
Estimated lifetime cost figures for investment programs and FHA-Refinance are as of September 30, 2017. Figures include interest on reestimates. Lifetime cost information for Making
Home Affordable and Hardest Hit Fund reflect the cost estimates published in the 2018 President's Budget.
4
The law creating the Small Business Lending Fund (SBLF) provided that banks could refinance securities issued under the CPP and CDCI programs with securities issued under the
SBLF. A total of 137 CPP banks refinanced under the SBLF resulting in repayments of $2.21 billion in CPP investments.
5
Estimated lifetime cost for AGP includes $276 million for the termination fee Bank of America paid Treasury-OFS for the value received from the announcement of the negotiations on the
guarantee and share losses on a pool of assets.
6
$411.72 is the actual amount disbursed under the various TARP investment programs as opposed to obligations totaling $412.08. This is because 28 CPP banks converted from the CPP
program to the CDCI program and those conversions, totaling $363.3 million, are not reflected as new disbursements.
7
8
9
In December, 2015, Congress passed the Consolidated Appropriations Act, 2016, which gave the Secretary of the Treasury the authority to commit up to $2 billion in additional TARP
funds to current HHF program participants. The additional $2 billion was obligated by Treasury as of June 2016 and is included in the total amount obligated for HHF.
In September 2017 the letter of credit was reduced from $100 million to $27 million. The figures in this line also include $18 million obligated for administrative expenses associated with the
letter of credit.
As discussed in note 10 to the Monthly TARP Update, Treasury’s investment in AIG common shares consisted of shares acquired in exchange for preferred stock purchased with TARP
funds (TARP shares) and shares received from the trust created by the FRBNY for the benefit of Treasury as a result of its loan to AIG (non-TARP shares). Treasury managed the TARP
shares and non-TARP shares together, and disposed of them pro-rata in proportion to its holdings. Only the TARP shares are included under “Other Programs—AIG” and the lifetime cost
estimate shows a loss based on Treasury’s cost basis in the TARP shares alone. However, a gain is shown for the non-TARP shares on the line entitled “Additional AIG Common Shares
Held by Treasury” because Treasury’s cost basis in such shares was deemed to be zero. When the TARP shares and non-TARP shares are considered together, Treasury’s cost on a
cash basis was $28.73 per share. TARP estimates include financing costs (borrowing) from the time of initial investment through the close of the program.
5
Troubled Asset Relief Program
CPP & CDCI Institutions
As of December 31, 2017
A. Remaining CPP Portfolio Institutions
B. CPP Institutions Entered into Bankruptcy/Receivership - Realized Loss/Write-Off
C. Remaining CDCI Portfolio Institutions
D. CDCI Institutions Entered into Bankruptcy/Receivership - Realized Loss/Write-Off
A. Remaining CPP Portfolio Institutions
Public/P Amount
rivate
Outstanding
Private
$
17,300,000.00
Private
$
12,063,000.00
Public
$
6,800,000.00
Private
$
4,389,000.00
Public
$
3,984,331.76
Private
$
3,000,000.00
47,536,331.76
Total $
*Original Investment has been converted at a discount into common stock in the institution. Amount shown is original investment amount
Institution Name
OneFinancial Corporation
OneUnited Bank
Harbor Bankshares Corporation
Pinnacle Bank Holding Company, Inc.
Broadway Financial Corporation*
St. Johns Bancshares, Inc.
Location
Little Rock, AR
Boston, MA
Baltimore, MD
Orange City, FL
Los Angeles, CA
St. Louis, MO
B. CPP Institutions Entered into Bankruptcy/Receivership - Realized Loss/Write-Off
Institution Name
CIT Group Inc.*
UCBH Holdings, Inc.
Pacific Coast National Bancorp*
Midwest Banc Holdings, Inc.*
Sonoma Valley Bancorp
Pierce County Bancorp
Tifton Banking Company*
Legacy Bancorp, Inc.
Superior Bancorp Inc.
FPB Bancorp Inc.
One Georgia Bank*
Integra Bank Corporation
Citizens Bancorp
CB Holding Corp.
Tennessee Commerce Bancorp, Inc.
Blue River Bancshares, Inc.
Fort Lee Federal Savings Bank*
Gregg Bancshares, Inc.
GulfSouth Private Bank*
Investors Financial Corporation of Pettis County, Inc.
First Place Financial Corporation*
Princeton National Bancorp
Premier Bank Holding Company*
Gold Canyon Bank*
Indiana Bank Corp.*
Rogers Bancshares, Inc.
Anchor Bancorp Wisconsin, Inc.*
TCB Holding Company
Syringa Bancorp
Idaho Bancorp*
Rising Sun Bancorp
Western Community Bancshares, Inc.
Cecil Bancorp, Inc.*
*Institution has exited the bankruptcy/receivership process
Bankruptcy/ Receivership Date
11/1/2009
11/6/2009
11/13/2009
5/14/2010
8/20/2010
11/5/2010
11/12/2010
3/11/2011
4/15/2011
7/15/2011
7/15/2011
7/29/2011
9/23/2011
10/14/2011
1/27/2012
2/10/2012
4/20/2012
7/13/2012
10/19/2012
10/19/2012
10/29/2012
11/2/2012
8/14/2012
4/5/2013
4/9/2013
7/5/2013
8/12/2013
12/13/2013
1/31/2014
4/24/2014
10/17/2014
11/7/2014
6/30/2017
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
Realized Loss/ Write-Off
Amount
2,330,000,000.00
298,737,000.00
4,120,000.00
84,784,000.00
8,653,000.00
6,800,000.00
3,800,000.00
5,498,000.00
69,000,000.00
5,800,000.00
5,500,000.00
83,586,000.00
10,400,000.00
4,114,000.00
30,000,000.00
5,000,000.00
1,300,000.00
825,000.00
7,500,000.00
4,000,000.00
72,927,000.00
25,083,000.00
9,500,000.00
1,607,000.00
1,312,000.00
25,000,000.00
104,000,000.00
11,730,000.00
8,000,000.00
6,900,000.00
5,983,000.00
7,290,000.00
11,560,000.00
6
C. Remaining CDCI Portfolio Institutions
Institution Name
Carver Bancorp, Inc*
First American International Corp.
IBC Bancorp, Inc.
Hope Federal Credit Union
Community Bank of the Bay
Carter Federal Credit Union
Cooperative Center Federal Credit Union
Tri-State Bank of Memphis
Community First Guam Federal Credit Union
Opportunities Credit Union
D.C. Federal Credit Union
Tulane-Loyola Federal Credit Union
Northeast Community Federal Credit Union
North Side Community Federal Credit Union
Neighborhood Trust Federal Credit Union
Buffalo Cooperative Federal Credit Union
Vigo County Federal Credit Union
Episcopal Community Federal Credit Union
Liberty County Teachers Federal Credit Union
Union Baptist Church Federal Credit Union
East End Baptist Tabernacle Federal Credit Union
Location
New York, NY
Brooklyn, NY
Chicago, IL
Jackson, MS
Oakland, CA
Springhill, LA
Berkeley, CA
Memphis, TN
Hagatna, GU
Burlington, VT
Washington, DC
New Orleans, LA
San Francisco, CA
Chicago, IL
New York, NY
Buffalo, NY
Terre Haute, IN
Los Angeles, CA
Liberty, TX
Fort Wayne, IN
Bridgeport, CT
Amount Outstanding
$
18,980,000.00
$
17,000,000.00
$
8,086,000.00
$
4,520,000.00
$
4,060,000.00
$
3,800,000.00
$
2,799,000.00
$
2,795,000.00
$
2,650,000.00
$
1,091,000.00
$
500,000.00
$
424,000.00
$
350,000.00
$
325,000.00
$
283,000.00
$
145,000.00
$
102,450.00
$
100,000.00
$
87,000.00
$
10,000.00
$
7,000.00
Total $
68,114,450.00
*Original Investment has been converted into common stock in the institution. Amount shown is original investment amount.
D. CDCI Institutions Entered into Bankruptcy/Receivership - Realized Loss/Write-Off
Institution Name
Premier Bancorp, Inc.*
*Institution has exited the bankruptcy/receivership process
Realized Loss/ Write-Off
Amount
1/29/2013 $
6,704,100.00
Bankruptcy/ Receivership Date
7
United States Department of the Treasury
Office of Financial Stability
Report of Administrative Obligations and Expenditures
For Period Ending
December 31, 2017
PERSONNEL SERVICES
NON-PERSONNEL
SERVICES
Budget
Object Class (BOC)
Budget Object Class Title
1100, 1200 & 1300 PERSONNEL COMPENSATION & BENEFITS
PERSONNEL SERVICES Total:
2100
TRAVEL & TRANSPORTATION OF PERSONS
2200
TRANSPORTATION OF THINGS
2300
RENTS, COMMUNICATIONS, UTILITIES & MISC CHARGES
2400
PRINTING & REPRODUCTION
2500
OTHER SERVICES
2600
SUPPLIES AND MATERIALS
3100
EQUIPMENT
3200
LAND & STRUCTURES
3300
INVESTMENTS & LOANS
4100
GRANTS, SUBSIDIES & CONTRIBUTIONS
4200
INSURANCE CLAIMS & INDEMNITIES
4300
INTEREST & DIVIDENDS
NON-PERSONNEL SERVICES Total:
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
Obligations
167,242,560
167,242,560.38
2,917,810.15
11,959.86
735,957.28
1,756.67
339,104,817.97
2,410,028.94
323,677.65
715.37
345,506,724
GRAND TOTAL: $
512,749,284
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
Expenditures
167,242,560
167,242,560.38
2,915,852.84
11,959.86
735,957.28
1,756.67
306,735,020.70
2,410,028.94
323,677.65
715.37
313,134,969
$
480,377,530
For Period Ending
January 31, 2018
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
Projected
Obligations
167,727,000
167,727,000
2,920,000
12,000
736,100
2,000
340,191,000
2,411,000
324,000
1,000.00
346,597,100
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
Projected
Expenditures
167,727,000
167,727,000
2,919,000
12,000
736,100
2,000
308,377,000
2,411,000
324,000
1,000.00
314,782,100
$
514,324,100
$
482,509,100
Note: The amounts presented above are cumulative from the initiation of the TARP.
8
U.S. Treasury Department
Office of Financial Stability
Troubled Asset Relief Program
Agreements Under TARP [Section 105(a)(3)(A)]
For Period December 2017
Date Approved
10/10/2008
10/11/2008
10/14/2008
10/16/2008
10/17/2008
10/18/2008
10/29/2008
10/29/2008
10/31/2008
11/09/2008
11/17/2008
11/25/2008
12/03/2008
12/05/2008
12/10/2008
12/10/2008
12/15/2008
12/16/2008
12/22/2008
12/24/2008
01/06/2009
01/07/2009
01/27/2009
01/27/2009
01/30/2009
01/30/2009
02/02/2009
02/03/2009
02/09/2009
02/12/2009
02/18/2009
02/18/2009
02/20/2009
02/20/2009
02/20/2009
02/20/2009
02/26/2009
02/27/2009
03/06/2009
03/16/2009
03/30/2009
03/30/2009
03/30/2009
03/30/2009
03/30/2009
03/31/2009
04/03/2009
04/03/2009
04/17/2009
04/17/2009
04/21/2009
04/21/2009
04/21/2009
04/30/2009
05/05/2009
05/13/2009
05/14/2009
05/15/2009
05/20/2009
05/22/2009
05/26/2009
05/26/2009
06/09/2009
06/29/2009
07/17/2009
07/30/2009
Type of Transaction
Contract
Contract
Financial Agent
Contract
Contract
Contract
Contract
Contract
Contract
Interagency Agreement
Interagency Agreement
Interagency Agreement
Interagency Agreement
Contract
Contract
Contract
Interagency Agreement
Interagency Agreement
Interagency Agreement
Contract
Interagency Agreement
Contract
Contract
Contract
Interagency Agreement
Contract
Interagency Agreement
Interagency Agreement
Contract
Contract
Financial Agent
Financial Agent
Interagency Agreement
Interagency Agreement
Contract
Contract
Interagency Agreement
Interagency Agreement
Contract
Financial Agent
Contract
Contract
Contract
Contract
Contract
Contract
Contract
Contract
Interagency Agreement
Contract
Financial Agent
Financial Agent
Financial Agent
Interagency Agreement
Interagency Agreement
Interagency Agreement
Contract
Contract
Interagency Agreement
Interagency Agreement
Contract
Contract
Interagency Agreement
Interagency Agreement
Contract
Contract
Vendor
Simpson Thacher & Bartlett LLP
Ennis Knupp & Associates Inc.
The Bank of New York Mellon
PricewaterhouseCoopers LLP
Turner Consulting Group, Inc.
Ernst & Young LLP
Hughes Hubbard & Reed LLP
Squire, Sanders & Dempsey LLP
Lindholm & Associates, Inc.
Internal Revenue Service (IRS)
Internal Revenue Service (IRS)
Department of the Treasury - Departmental Offices
Trade and Tax Bureau - Treasury
Washington Post
Thacher Proffitt & Wood LLP
Sonnenschein Nath & Rosenthal LLP
Office of Thrift Supervision
Department of Housing and Urban Development
Office of Thrift Supervision
Cushman And Wakefield Of VA Inc.
U.S. Securities and Exchange Commission
Colonial Parking Inc.
Whitaker Brothers Business Machines Inc
Cadwalader Wickersham & Taft LLP
Office of the Comptroller of the Currency
Sonnenschein Nath & Rosenthal LLP
Government Accountability Office
Internal Revenue Service (IRS)
Pat Taylor and Associates, Inc.
Locke Lord Bissell & Liddell LLP
Fannie Mae
Freddie Mac
Office of Thrift Supervision
FINANCIAL CLERK U.S. SENATE
Venable LLP
Simpson Thacher & Bartlett LLP
U.S. Securities and Exchange Commission
Pension Benefit Guaranty Corporation
The Boston Consulting Group
EARNEST Partners
Cadwalader Wickersham & Taft LLP
Bingham McCutchen LLP
Haynes and Boone LLP
Mckee Nelson LLP
Sonnenschein Nath & Rosenthal LLP
FI Consulting Inc.
American Furniture Rentals, Inc.
The Boston Consulting Group
Bureau of Engraving and Printing (BEP)
Herman Miller, Inc.
Alliance Bernstein L.P.
FSI Group, LLC
Piedmont Investment Advisors, LLC
U.S. Department of State
Federal Reserve Board
Department of Treasury - US Mint
Knowledgebank Inc.
Phacil Inc.
U.S. Securities and Exchange Commission
Department of Justice - ATF
Anderson Mc Coy & Orta
Simpson Thacher & Bartlett LLP
Financial Management Service
Department of the Interior
Korn/Ferry International
Cadwalader Wickersham & Taft LLP
Purpose
Legal Advisory
Investment and Advisory Services
Custodian and Cash Management
Accounting/Internal Controls
Archiving Services
Accounting/Internal Controls
Legal Advisory
Legal Advisory
Human Resources Services
Administrative Support
Information Technology
Administrative Support
Information Technology
Administrative Support
Legal Advisory
Legal Advisory
Administrative Support
Administrative Support
Administrative Support
Administrative Support
Administrative Support
Administrative Support
Facilities Support
Legal Advisory
Administrative Support
Legal Advisory
Compliance
Administrative Support
Administrative Support
Legal Advisory
Homeownership Program
Homeownership Program
Administrative Support
Financial Advisory
Legal Advisory
Legal Advisory
Administrative Support
Legal Advisory
Financial Advisory
Small Business Assistance Program
Legal Advisory
Legal Advisory
Legal Advisory
Legal Advisory
Legal Advisory
Accounting/Internal Controls
Administrative Support
Financial Advisory
Administrative Support
Facilities Support
Asset Management Services
Asset Management Services
Asset Management Services
Administrative Support
Administrative Support
Administrative Support
Administrative Support
Contract FOIA Support Services
Administrative Support
Administrative Support
Legal Advisory
Legal Advisory
Information Technology
Administrative Support
Administrative Support
Legal Advisory
Socio-Economic Category
Other Than Small Business
Other Than Small Business
Other Than Small Business
Other Than Small Business
Other Than Small Business
Other Than Small Business
Other Than Small Business
Other Than Small Business
Woman-Owned Small Business,Small Business
Other Than Small Business
Other Than Small Business
Other Than Small Business
Other Than Small Business
Other Than Small Business
Small Business
Other Than Small Business
Other Than Small Business
Woman-Owned Small Business,Small Business
Other Than Small Business
Other Than Small Business
Other Than Small Business
Other Than Small Business
Other Than Small Business
Other Than Small Business
Small Disadvantaged Business, Small Business
Other Than Small Business
Other Than Small Business
Other Than Small Business
Other Than Small Business
Other Than Small Business
Small Business
Small Business
Other Than Small Business
Other Than Small Business
Other Than Small Business
Other Than Small Business
Small Disadvantaged Business, Small Business
Small Disadvantaged Business, Small Business
Small Disadvantaged Business, HUBZone Small Business, Small Business
Woman-Owned Small Business,Small Disadvantaged Business,Small Business
Other Than Small Business
Other Than Small Business
Other Than Small Business
9
Date Approved
07/30/2009
07/30/2009
08/10/2009
08/10/2009
08/18/2009
08/25/2009
09/02/2009
09/10/2009
09/11/2009
09/18/2009
09/30/2009
09/30/2009
09/30/2009
09/30/2009
11/09/2009
12/16/2009
12/22/2009
12/22/2009
12/22/2009
12/22/2009
12/22/2009
12/22/2009
12/22/2009
01/14/2010
01/15/2010
02/16/2010
02/16/2010
02/18/2010
03/08/2010
03/12/2010
03/22/2010
03/26/2010
03/29/2010
04/02/2010
04/08/2010
04/12/2010
04/22/2010
04/22/2010
04/23/2010
05/04/2010
05/17/2010
06/24/2010
06/30/2010
07/21/2010
07/21/2010
07/22/2010
07/22/2010
07/22/2010
07/27/2010
08/06/2010
08/06/2010
08/06/2010
08/06/2010
08/06/2010
08/06/2010
08/06/2010
08/06/2010
08/06/2010
08/06/2010
08/06/2010
08/06/2010
08/06/2010
08/12/2010
08/30/2010
09/01/2010
09/17/2010
09/27/2010
09/30/2010
10/01/2010
10/01/2010
10/08/2010
10/08/2010
10/08/2010
10/08/2010
10/08/2010
10/08/2010
Type of Transaction
Contract
Contract
Interagency Agreement
Interagency Agreement
Contract
Interagency Agreement
Contract
Contract
Contract
Interagency Agreement
Contract
Contract
Contract
Contract
Interagency Agreement
Interagency Agreement
Contract
Financial Agent
Financial Agent
Financial Agent
Financial Agent
Financial Agent
Financial Agent
Interagency Agreement
Contract
Contract
Interagency Agreement
Interagency Agreement
Contract
Interagency Agreement
Interagency Agreement
Interagency Agreement
Financial Agent
Interagency Agreement
Contract
Contract
Contract
Contract
Contract
Interagency Agreement
Financial Agent
Contract
Contract
Contract
Contract
Contract
Contract
Contract
Contract
Contract
Contract
Contract
Contract
Contract
Contract
Contract
Contract
Contract
Contract
Contract
Contract
Contract
Contract
Interagency Agreement
Contract
Contract
Contract
Contract
Interagency Agreement
Interagency Agreement
Contract
Contract
Contract
Contract
Contract
Contract
Vendor
Debevoise & Plimpton, LLP
Fox, Swibel, Levin & Carroll, LLP
NASA
U.S. Department of Justice
The Mercer Group, Inc.
U.S. Department of Justice
Knowledge Mosaic Inc.
Equilar, Inc.
PricewaterhouseCoopers LLP
Department of the Treasury - ARC
Immixtechnology, Inc.
Immixtechnology, Inc.
Nna Incorporated
SNL Financial LC
Department of the Treasury - Departmental Offices
Internal Revenue Service (IRS)
Hughes Hubbard & Reed LLP
Avondale Investments, LLC
Bell Rock Capital, LLC
Howe Barnes Hoefer & Arnett, Inc.
KBW Asset Management, Inc.
Lombardia Capital Partners, LLC
Paradigm Asset Management Co., LLC
Government Accountability Office
Association of Govt Accountants
The MITRE Corporation
Internal Revenue Service (IRS)
Department of the Treasury - ARC
QualX Corporation
Department of the Treasury - Departmental Offices
Financial Management Service
Federal Maritime Commission
Morgan Stanley & Co. Incorporated
FINANCIAL CLERK U.S. SENATE
Squire, Sanders & Dempsey LLP
Hewitt EnnisKnupp, Inc.
Digital Management Inc.
MicroLink, LLC
RDA Corporation
Internal Revenue Service (IRS)
Lazard Fréres & Co. LLC
Reed Elsevier PLC (dba LexisNexis)
The George Washington University
Regis & Associates, PC
Navigant Consulting, Inc.
PricewaterhouseCoopers LLP
Ernst & Young LLP
Schiff Hardin LLP
West Publishing Corporation
Alston & Bird LLP
Sullivan Cove Reign Enterprises Jv
Perkins Coie LLP
Orrick, Herrington & Sutcliffe LLP
Cadwalader Wickersham & Taft LLP
Haynes and Boone LLP
Love and Long, LLP
Venable LLP
Fox, Swibel, Levin & Carroll, LLP
Seyfarth Shaw LLP
Shulman, Rogers, Gandal, Pordy & Ecker, PA
Hughes Hubbard & Reed LLP
Paul, Weiss, Rifkind, Wharton & Garrison LLP
Knowledge Mosaic Inc.
Department of Housing and Urban Development
CQ-Roll Call Inc.
Bingham McCutchen LLP
Davis Audrey Robinette
CCH Incorporated
Department of the Treasury - Departmental Offices
FINANCIAL CLERK U.S. SENATE
Management Concepts, Inc.
Management Concepts, Inc.
Management Concepts, Inc.
Management Concepts, Inc.
Management Concepts, Inc.
Management Concepts, Inc.
Purpose
Legal Advisory
Legal Advisory
Detailee(s)
Administrative Support
Administrative Support
Administrative Support
Administrative Support
Administrative Support
Accounting/Internal Controls
Administrative Support
Information Technology
Information Technology
Administrative Support
Financial Advisory
Administrative Support
Administrative Support
Legal Advisory
Asset Management Services
Asset Management Services
Asset Management Services
Asset Management Services
Asset Management Services
Asset Management Services
Compliance
Administrative Support
Information Technology
Administrative Support
Administrative Support
Administrative Support
Administrative Support
Information Technology
Administrative Support
Disposition Agent Services
Financial Advisory
Legal Advisory
Investment and Advisory Services
Information Technology
Administrative Support
Information Technology
Administrative Support
Transaction Structuring Services
Administrative Support
Administrative Support
Compliance
Compliance
Compliance
Compliance
Legal Advisory
Administrative Support
Legal Advisory
Legal Advisory
Legal Advisory
Legal Advisory
Legal Advisory
Legal Advisory
Legal Advisory
Legal Advisory
Legal Advisory
Legal Advisory
Legal Advisory
Legal Advisory
Legal Advisory
Administrative Support
Administrative Support
Administrative Support
Legal Advisory
Administrative Support
Administrative Support
Administrative Support
Financial Advisory
Administrative Support
Administrative Support
Administrative Support
Administrative Support
Administrative Support
Administrative Support
Socio-Economic Category
Other Than Small Business
Other Than Small Business
Other Than Small Business
Small Business
Small Disadvantaged Business,Small Business
Other Than Small Business
Other Than Small Business
Other Than Small Business
Small Business
Other Than Small Business
Other Than Small Business
Small Disadvantaged Business, Small Business
Woman-Owned Small Business, Small Business
Other Than Small Business
Other Than Small Business
Small Disadvantaged Business, Small Business
Small Disadvantaged Business, Small Business
Other Than Small Business
Other Than Small Business
Service-Disabled Veteran-Owned Small Business,Small Business
Other Than Small Business
Other Than Small Business
Other Than Small Business
Small Business
Small Business
Other Than Small Business
Other Than Small Business
Other Than Small Business
Other Than Small Business
Small Disadvantaged Business,Small Business
Other Than Small Business
Other Than Small Business
Other Than Small Business
Other Than Small Business
Other Than Small Business
Other Than Small Business
Small Disadvantaged Business,Small Business
Other Than Small Business
Other Than Small Business
Other Than Small Business
Other Than Small Business
Woman-Owned Small Business,Small Disadvantaged Business,Small Business
Other Than Small Business
Other Than Small Business
Other Than Small Business
Other Than Small Business
Other Than Small Business
Other Than Small Business
Small Business
Other Than Small Business
Other Than Small Business
Small Disadvantaged Business,Woman-Owned Small Business,Small Business
Other Than Small Business
Other Than Small Business
Other Than Small Business
Other Than Small Business
Other Than Small Business
Other Than Small Business
Other Than Small Business
10
Date Approved
10/08/2010
10/08/2010
10/14/2010
10/26/2010
11/08/2010
11/18/2010
12/02/2010
12/29/2010
01/05/2011
01/18/2011
01/24/2011
01/26/2011
02/24/2011
02/28/2011
03/03/2011
03/10/2011
03/22/2011
04/20/2011
04/26/2011
04/27/2011
04/27/2011
04/27/2011
04/27/2011
04/27/2011
04/27/2011
04/28/2011
04/28/2011
04/28/2011
05/31/2011
05/31/2011
06/02/2011
06/09/2011
06/17/2011
07/28/2011
09/09/2011
09/13/2011
09/15/2011
09/29/2011
09/29/2011
10/04/2011
10/20/2011
11/18/2011
11/29/2011
12/20/2011
12/30/2011
12/30/2011
01/04/2012
01/05/2012
02/02/2012
02/07/2012
02/14/2012
02/27/2012
03/06/2012
03/14/2012
03/30/2012
03/30/2012
05/02/2012
05/02/2012
05/10/2012
06/12/2012
06/15/2012
06/30/2012
07/26/2012
08/01/2012
08/03/2012
09/19/2012
09/28/2012
11/19/2012
12/13/2012
12/19/2012
01/01/2013
01/01/2013
02/13/2013
02/21/2013
03/04/2013
03/07/2013
Type of Transaction
Contract
Contract
Contract
Interagency Agreement
Contract
Financial Agent
Contract
Contract
Contract
Financial Agent
Interagency Agreement
Contract
Contract
Interagency Agreement
Contract
Contract
Contract
Interagency Agreement
Contract
Contract
Contract
Contract
Contract
Contract
Contract
Contract
Contract
Interagency Agreement
Contract
Contract
Contract
Contract
Contract
Interagency Agreement
Interagency Agreement
Contract
Contract
Contract
Interagency Agreement
Interagency Agreement
Contract
Contract
Financial Agent
Contract
Interagency Agreement
Interagency Agreement
Interagency Agreement
Interagency Agreement
Contract
Financial Agent
Contract
Contract
Contract
Interagency Agreement
Interagency Agreement
Contract
Contract
Contract
Contract
Interagency Agreement
Contract
Contract
Contract
Interagency Agreement
Contract
Interagency Agreement
Contract
Interagency Agreement
Contract
Interagency Agreement
Financial Agent
Financial Agent
Contract
Financial Agent
Interagency Agreement
Interagency Agreement
Vendor
Management Concepts, Inc.
Management Concepts, Inc.
Hispanic Assoc Of Coll & Univ
Government Accountability Office
The Mitre Corporation
Greenhill & Co., LLC
Addx Corporation
Reed Elsevier PLC (dba LexisNexis)
Canon U.S.A. Inc.
Perella Weinberg Partners & Co.
Department of the Treasury - ARC
Association of Govt Accountants
ESI International Inc.
Department of the Treasury - Departmental Offices
Equilar, Inc.
The Mercer Group, Inc.
Harrison Scott Publications, Inc.
Federal Reserve Bank of New York
PricewaterhouseCoopers LLP
ASR Analytics LLC
Oculus Group LLC
Ernst & Young LLP
Lani Eko & Company, CPAs, LLC
MorganFranklin Consulting, LLC
FI Consulting Inc.
KPMG LLP
Booz Allen Hamilton Inc.
Office of Personnel Management (OPM) - Western Management Development Center
Reed Elsevier PLC (dba LexisNexis)
West Publishing Corporation
ESI International Inc.
CQ-Roll Call Inc.
Winvale Group LLC
Internal Revenue Service (IRS)
Financial Management Service
ADC LTD NM
All Business Machines, Inc.
Knowledge Mosaic Inc.
Department of the Interior
Internal Revenue Service (IRS)
All Business Machines, Inc.
QualX Corporation
Houlihan Lokey, Inc.
The Allison Group, LLC
Department of the Treasury - ARC
Department of the Treasury - Departmental Offices
Government Accountability Office
Office of Personnel Management (OPM) - Western Management Development Center
Moody's Analytics, Inc.
Greenhill & Co., LLC
Association of Govt Accountants
Diversified Search LLC
Integrated Federal Solutions, Inc.
Department of the Interior
Department of the Treasury - Departmental Offices - WCF
E-Launch Multimedia, Inc.
Cartridge Technologies, Inc.
Cartridge Technologies, Inc.
Equilar, Inc.
U.S. Department of Justice
QualX Corporation
West Publishing Corporation
Knowledge Mosaic Inc.
Internal Revenue Service (IRS)
Harrison Scott Publications, Inc.
Department of the Treasury - ARC
SNL Financial LC
Government Accountability Office
Association of Govt Accountants
Department of the Treasury - Departmental Offices
Lazard Fréres & Co. LLC
Lazard Fréres & Co. LLC
The Mercer Group, Inc.
Raymond James and Associates, Inc.
Department of the Treasury - Departmental Offices - WCF
Department of Housing and Urban Development
Purpose
Administrative Support
Administrative Support
Administrative Support
Compliance
Information Technology
Structuring and Disposition Services
Acquisition Support Services
Administrative Support
Administrative Support
Structuring and Disposition Services
Administrative Support
Administrative Support
Administrative Support
Administrative Support
Administrative Support
Administrative Support
Administrative Support
Financial Advisory
Financial Advisory
Financial Advisory
Financial Advisory
Financial Advisory
Financial Advisory
Financial Advisory
Financial Advisory
Financial Advisory
Financial Advisory
Administrative Support
Administrative Support
Administrative Support
Administrative Support
Administrative Support
Subscription Services
Administrative Support
Intern
Compliance
Administrative Support
Administrative Support
Administrative Support
Detailee
Administrative Support
Administrative Support
Transaction Structuring Services
Professional/Management Training
Administrative Support
Administrative Support
Compliance
Administrative Support
Administrative Support
Structuring and Disposition Services
Administrative Support
Financial Advisory
Administrative Support
Administrative Support
Administrative Support
Administrative Support
Facilities Support
Facilities Support
Administrative Support
Administrative Support
Administrative Support
Subscription Services
Administrative Support
Administrative Support
Administrative Support
Administrative Support
Information Technology
Compliance
Administrative Support
Administrative Support
Transaction Structuring Services
Transaction Structuring Services
Administrative Support
Asset Management Services
Administrative Support
Administrative Support
Socio-Economic Category
Other Than Small Business
Other Than Small Business
Other Than Small Business
Other Than Small Business
Other Than Small Business
Service-Disabled Veteran-Owned Small Business, Small Business
Other Than Small Business
Other Than Small Business
Other Than Small Business
Other Than Small Business
Other Than Small Business
Small Disadvantaged Business,Small Business
Other Than Small Business
Small Business
Other Than Small Business
Small Business
Small Disadvantaged Business,Woman-Owned Small Business,Small Business
Other Than Small Business
Small Disadvantaged Business,Small Business
Other Than Small Business
Small Business
Other Than Small Business
Other Than Small Business
Other Than Small Business
Other Than Small Business
Other Than Small Business
Other Than Small Business
Small Business
Small Disadvantaged Business,HUBZone Small Business,Small Business
Service-Disabled Veteran-Owned Small Business,HUBZone Small Business,Small Business
Small Business
Service-Disabled Veteran-Owned Small Business,HUBZone Small Business,Small Business
Service-Disabled Veteran-Owned Small Business,Small Business
Other Than Small Business
Woman-Owned Small Business,Small Business
Other Than Small Business
Other Than Small Business
Other Than Small Business
Woman-Owned Small Business,Small Business
Small Disadvantaged Business,Small Business
Small Disadvantaged Business,Service-Disabled Veteran-Owned Small Business,Small Business
Small Business,Small Disadvantaged Business,Woman-Owned Small Business
Small Disadvantaged Business, Woman-Owned Small Business, Small Business
Small Disadvantaged Business,Small Business
Service-Disabled Veteran-Owned Small Business,Small Business
Other Than Small Business
Small Business
Small Business
Other Than Small Business
Other Than Small Business
Other Than Small Business
Other Than Small Business
Other Than Small Business
Other Than Small Business
11
Date Approved
03/26/2013
03/27/2013
05/01/2013
05/10/2013
06/13/2013
08/01/2013
08/20/2013
09/25/2013
09/26/2013
11/22/2013
11/22/2013
11/27/2013
12/12/2013
12/18/2013
03/05/2014
03/12/2014
03/24/2014
04/14/2014
06/13/2014
10/01/2014
10/29/2014
11/06/2014
11/07/2014
11/17/2014
11/25/2014
01/26/2015
04/02/2015
09/17/2015
10/01/2015
10/01/2015
11/02/2015
11/23/2015
01/12/2016
01/14/2016
01/20/2016
03/18/2016
03/24/2016
04/22/2016
05/09/2016
05/20/2016
09/30/2016
10/04/2016
10/05/2016
10/06/2016
11/07/2016
11/07/2016
01/19/2017
01/19/2017
02/01/2017
02/08/2017
02/09/2017
02/16/2017
03/09/2017
04/25/2017
08/15/2017
08/29/2017
09/08/2017
12/01/2017
12/01/2017
12/12/2017
Type of Transaction
Contract
Interagency Agreement
Interagency Agreement
Contract
Contract
Contract
Contract
Interagency Agreement
Contract
Interagency Agreement
Interagency Agreement
Interagency Agreement
Contract
Interagency Agreement
Interagency Agreement
Interagency Agreement
Contract
Contract
Contract
Interagency Agreement
Interagency Agreement
Interagency Agreement
Interagency Agreement
Interagency Agreement
Interagency Agreement
Interagency Agreement
Contract
Interagency Agreement
Interagency Agreement
Interagency Agreement
Interagency Agreement
Interagency Agreement
Contract
Contract
Interagency Agreement
Contract
Contract
Contract
Interagency Agreement
Contract
Contract
Interagency Agreement
Interagency Agreement
Interagency Agreement
Interagency Agreement
Interagency Agreement
Contract
Contract
Contract
Interagency Agreement
Contract
Contract
Contract
Contract
Interagency Agreement
Interagency Agreement
Interagency Agreement
Financial Agent
Financial Agent
Contract
Vendor
Bloomberg Finance L.P.
IRS - Treasury Acquisition Institute
Internal Revenue Service (IRS)
Equilar, Inc.
West Publishing Corporation
Evolution Management, Inc.
Knowledge Mosaic Inc.
Department of the Treasury - ARC
SNL Financial LC
Internal Revenue Service (IRS)
Department of the Treasury - Departmental Offices
Department of the Treasury - Departmental Offices - WCF
Association of Govt Accountants
U.S. Department of Justice
U.S. Department of Justice
Department of the Treasury - Departmental Offices
The Mercer Group, Inc.
Bloomberg Finance L.P.
The Winvale Group, LLC
Internal Revenue Service Office of Procurement
Department of the Treasury - Departmental Offices
Department of the Treasury - Departmental Offices
Department of the Treasury - ARC
Department of the Treasury - Departmental Offices
Government Accountability Office
Department of the Interior
Integrated Federal Solutions, Inc.
Department of the Treasury - ARC
Government Accountability Office
Government Accountability Office
Department of the Treasury - Departmental Offices
Department of the Treasury - Departmental Offices
Hughes Hubbard & Reed LLP
Cadwalader Wickersham & Taft LLP
Department of the Interior
Hewlett-Packard (HP)
Advanced Computer Concepts, Inc.
RDA Corporation
Department of the Interior
Paul, Weiss, Rifkind, Wharton & Garrison LLP
SNL Financial LC
Government Accountability Office
Department of the Treasury - Departmental Offices
Government Accountability Office
Department of the Treasury - ARC
Department of the Treasury - ARC
Ernst & Young LLP
Navigant Consulting, Inc.
Haynes and Boone LLP
U.S. Department of Justice
Booz Allen Hamilton Inc.
Heritage Reporting Corp
ASR Analytics LLC
JTF Business Systems Corporation
Department of the Interior
Department of the Interior
Department of the Treasury - Departmental Offices
The Bank of New York Mellon
FSI Group, LLC
The Winvale Group, LLC
Purpose
Subscription
Administrative Support
Administrative Support
Administrative
Administrative Support
Administrative Support
Administrative Support
Administrative Support
Administrative Support
Administrative Support
Administrative Support
Administrative Support
Administrative Support
Administrative Support
Administrative Support
Information Technology
Compliance
Administrative Support
Administrative Support
Administrative Support
Administrative Support
Administrative Support
Administrative Support
Administrative Support
Administrative Support
Administrative Support
Administrative Support
Administrative Support
Administrative Support
Administrative Support
Administrative Support
Administrative Support
Legal Advisory
Legal Advisory
Information Technology
Information Technology
Information Technology
Information Technology
Administrative Support
Legal Advisory
Administrative Support
Administrative Support
Administrative Support
Administrative Support
Administrative Support
Administrative Support
Compliance
Compliance
Legal Advisory
Legal Advisory
Accounting/Internal Controls
Administrative Support
Accounting/Internal Controls
Facilities Support
Administrative Support
Administrative Support
Administrative Support
Custodian and Cash Management
Asset Management Services
Compliance
Socio-Economic Category
Other Than Small Business
Small Disadvantaged Business,Small Business
Other Than Small Business
Small Disadvantaged Business,Woman-Owned Small Business,Small Business
Small Business
Other Than Small Business
Other Than Small Business
Other Than Small Business
Other Than Small Business
Small Business
Other Than Small Business
Small Business,Small Disadvantaged Business
Other Than Small Business
Other than Small Business
Other than Small Business
Other than Small Business
Small Business,Small Disadvantaged Business,Woman-Owned Small Business
Other than Small Business
Other than Small Business
Other than Small Business
Other Than Small Business
Other Than Small Business
Other than Small Business
Other than Small Business
Other than Small Business
Other than Small Business
Small Business,Woman-Owned Small Business
Small Business
Small Business
Other Than Small Business
Other Than Small Business
Small Business
-Contract responsibilities for Thatcher Proffitt & Wood assumed by Sonnenschein Nath & Rosenthal via novation.
-Contract responsibilities for McKee Nelson LLP assumed by Bingham McCutchen, LLP via novation.
-Management Concepts contracts for various training are now being reported separately rather than combined single line item.
-Financial Agent responsibilities assumed by Raymond James and Associates, Inc. via novation.
12
U.S. Treasury Department
Office of Financial Stability
Troubled Asset Relief Program
Insurance Contracts [Section 105(a)(3)(B)]
For Period Ending December 31, 2017
Name
Amount
Termination of the $5,000,000,000 Master Agreement
between Citigroup and the UST, and FDIC occurred on
December 23, 2009 due to the improvement of Citigroup's
financial condition and financial market stability.
13
*Investment Status Definition Key
U.S. Treasury Department
Office of Financial Stability
Full investment outstanding: Treasury's full investment is still outstanding
Redeemed – institution has repaid Treasury’s investment
Sold – by auction, an offering, or through a restructuring
Exited bankruptcy/receivership - Treasury has no outstanding investment
Currently not collectible - investment is currently not collectible; therefore there is no outstanding investment and a corresponding (Realized Loss) / (Write-off)
In full – all of Treasury’s investment amount
In part – part of the investment is no longer held by Treasury, but some remains
Warrants outstanding – Treasury’s warrant to purchase additional stock is still outstanding, including any exercised warrants
Warrants not outstanding – Treasury has disposed of its warrant to purchase additional stock through various means as described in the Warrant Report (such as sale back to company and
auctions) or Treasury did not receive a warrant to purchase additional stock
Footnote
11
8,14,18,44
102
11
8,11,14
8,14,44
8,14
104
11
14,15
8,137
8,14
8,14,45
8,14,44
11
8,11,14
8,11,14
45
14,15
94
11,90
11
8,17
8,14,44
11
8,44
8,17,44
11
8,11,14
8,14
83
8,14
6,7,11
Institution Name
1ST CONSTITUTION BANCORP
1ST CONSTITUTION BANCORP
1ST CONSTITUTION BANCORP
1ST ENTERPRISE BANK
1ST ENTERPRISE BANK
1ST ENTERPRISE BANK
1ST FINANCIAL SERVICES CORPORATION
1ST FINANCIAL SERVICES CORPORATION
1ST SOURCE CORPORATION
1ST SOURCE CORPORATION
1ST SOURCE CORPORATION
1ST UNITED BANCORP, INC.
1ST UNITED BANCORP, INC.
AB&T FINANCIAL CORPORATION
AB&T FINANCIAL CORPORATION
AB&T FINANCIAL CORPORATION
AB&T FINANCIAL CORPORATION
AB&T FINANCIAL CORPORATION
ADBANC, INC.
ADBANC, INC.
ALARION FINANCIAL SERVICES, INC.
ALARION FINANCIAL SERVICES, INC.
ALARION FINANCIAL SERVICES, INC.
ALARION FINANCIAL SERVICES, INC.
ALASKA PACIFIC BANCSHARES, INC.
ALASKA PACIFIC BANCSHARES, INC.
ALASKA PACIFIC BANCSHARES, INC.
ALASKA PACIFIC BANCSHARES, INC.
ALASKA PACIFIC BANCSHARES, INC.
ALASKA PACIFIC BANCSHARES, INC.
ALLIANCE BANCSHARES, INC.
ALLIANCE BANCSHARES, INC.
ALLIANCE BANCSHARES, INC.
ALLIANCE BANCSHARES, INC.
ALLIANCE FINANCIAL CORPORATION
ALLIANCE FINANCIAL CORPORATION
ALLIANCE FINANCIAL CORPORATION
ALLIANCE FINANCIAL SERVICES, INC.
ALLIANCE FINANCIAL SERVICES, INC.
ALLIANCE FINANCIAL SERVICES, INC.
ALLIANCE FINANCIAL SERVICES, INC.
ALLIED FIRST BANCORP, INC.
ALLIED FIRST BANCORP, INC.
ALPINE BANKS OF COLORADO
ALPINE BANKS OF COLORADO
ALPINE BANKS OF COLORADO
ALPINE BANKS OF COLORADO
ALPINE BANKS OF COLORADO
AMB FINANCIAL CORPORATION
AMB FINANCIAL CORPORATION
AMERIBANK HOLDING COMPANY, INC. / AMERICAN BANK OF OKLAHOMA
AMERIBANK HOLDING COMPANY, INC. / AMERICAN BANK OF OKLAHOMA
AMERICAN EXPRESS COMPANY
AMERICAN EXPRESS COMPANY
AMERICAN EXPRESS COMPANY
AMERICAN PREMIER BANCORP
AMERICAN PREMIER BANCORP
AMERICAN STATE BANCSHARES, INC.
AMERICAN STATE BANCSHARES, INC.
AMERIS BANCORP
AMERIS BANCORP
AMERIS BANCORP
AMERISERV FINANCIAL, INC.
AMERISERV FINANCIAL, INC.
AMERISERV FINANCIAL, INC.
AMFIRST FINANCIAL SERVICES, INC
AMFIRST FINANCIAL SERVICES, INC
AMFIRST FINANCIAL SERVICES, INC
AMFIRST FINANCIAL SERVICES, INC
AMFIRST FINANCIAL SERVICES, INC
ANCHOR BANCORP WISCONSIN, INC.
ANCHOR BANCORP WISCONSIN, INC.
ANNAPOLIS BANCORP, INC. / F.N.B. CORPORATION
ANNAPOLIS BANCORP, INC. / F.N.B. CORPORATION
ANNAPOLIS BANCORP, INC. / F.N.B. CORPORATION
ANNAPOLIS BANCORP, INC. / F.N.B. CORPORATION
ASSOCIATED BANC-CORP
ASSOCIATED BANC-CORP
ASSOCIATED BANC-CORP
ASSOCIATED BANC-CORP
ATLANTIC BANCSHARES, INC.
ATLANTIC BANCSHARES, INC.
ATLANTIC BANCSHARES, INC.
ATLANTIC BANCSHARES, INC.
AVENUE FINANCIAL HOLDINGS
AVENUE FINANCIAL HOLDINGS
AVIDBANK HOLDING, INC. / PENINSULA BANK HOLDING CO.
AVIDBANK HOLDING, INC. / PENINSULA BANK HOLDING CO.
AVIDBANK HOLDING, INC. / PENINSULA BANK HOLDING CO.
BANCINDEPENDENT, INCORPORATED
BANCINDEPENDENT, INCORPORATED
BANCORP FINANCIAL, INC.
BANCORP FINANCIAL, INC.
BANCORP RHODE ISLAND, INC.
BANCORP RHODE ISLAND, INC.
BANCORP RHODE ISLAND, INC.
BANCPLUS CORPORATION
BANCPLUS CORPORATION
BANCSTAR, INC.
BANCSTAR, INC.
BANCSTAR, INC.
BANCSTAR, INC.
BANCTRUST FINANCIAL GROUP, INC.
BANCTRUST FINANCIAL GROUP, INC.
BANK FINANCIAL SERVICES, INC.
BANK FINANCIAL SERVICES, INC.
BANK FINANCIAL SERVICES, INC.
BANK FINANCIAL SERVICES, INC.
BANK FINANCIAL SERVICES, INC.
BANK OF AMERICA
BANK OF AMERICA
BANK OF AMERICA
City
CRANBURY
CRANBURY
CRANBURY
LOS ANGELES
LOS ANGELES
LOS ANGELES
HENDERSONVILLE
HENDERSONVILLE
SOUTH BEND
SOUTH BEND
SOUTH BEND
BOCA RATON
BOCA RATON
GASTONIA
GASTONIA
GASTONIA
GASTONIA
GASTONIA
OGALLALA
OGALLALA
OCALA
OCALA
OCALA
OCALA
JUNEAU
JUNEAU
JUNEAU
JUNEAU
JUNEAU
JUNEAU
DALTON
DALTON
DALTON
DALTON
SYRACUSE
SYRACUSE
SYRACUSE
SAINT PAUL
SAINT PAUL
SAINT PAUL
SAINT PAUL
OSWEGO
OSWEGO
GLENWOOD SPRINGS
GLENWOOD SPRINGS
GLENWOOD SPRINGS
GLENWOOD SPRINGS
GLENWOOD SPRINGS
MUNSTER
MUNSTER
COLLINSVILLE
COLLINSVILLE
NEW YORK
NEW YORK
NEW YORK
ARCADIA
ARCADIA
GREAT BEND
GREAT BEND
MOULTRIE
MOULTRIE
MOULTRIE
JOHNSTOWN
JOHNSTOWN
JOHNSTOWN
MCCOOK
MCCOOK
MCCOOK
MCCOOK
MCCOOK
MADISON
MADISON
ANNAPOLIS
ANNAPOLIS
ANNAPOLIS
ANNAPOLIS
GREEN BAY
GREEN BAY
GREEN BAY
GREEN BAY
BLUFFTON
BLUFFTON
BLUFFTON
BLUFFTON
NASHVILLE
NASHVILLE
PALO ALTO
PALO ALTO
PALO ALTO
SHEFFIELD
SHEFFIELD
OAK BROOK
OAK BROOK
PROVIDENCE
PROVIDENCE
PROVIDENCE
RIDGELAND
RIDGELAND
FESTUS
FESTUS
FESTUS
FESTUS
MOBILE
MOBILE
EDEN PRAIRIE
EDEN PRAIRIE
EDEN PRAIRIE
EDEN PRAIRIE
EDEN PRAIRIE
CHARLOTTE
CHARLOTTE
CHARLOTTE
Troubled Asset Relief Program
Transactions Report - Investment Programs
For Period Ending December 20, 2017
CAPITAL PURCHASE PROGRAM
State
NJ
NJ
NJ
CA
CA
CA
NC
NC
IN
IN
IN
FL
FL
NC
NC
NC
NC
NC
NE
NE
FL
FL
FL
FL
AK
AK
AK
AK
AK
AK
GA
GA
GA
GA
NY
NY
NY
MN
MN
MN
MN
IL
IL
CO
CO
CO
CO
CO
IN
IN
OK
OK
NY
NY
NY
CA
CA
KS
KS
GA
GA
GA
PA
PA
PA
NE
NE
NE
NE
NE
WI
WI
MD
MD
MD
MD
WI
WI
WI
WI
SC
SC
SC
SC
TN
TN
CA
CA
CA
AL
AL
IL
IL
RI
RI
RI
MS
MS
MO
MO
MO
MO
AL
AL
MN
MN
MN
MN
MN
NC
NC
NC
Date
12/23/2008
10/27/2010
11/22/2011
2/13/2009
12/11/2009
9/1/2011
11/14/2008
12/31/2013
1/23/2009
12/29/2010
3/9/2011
3/13/2009
11/18/2009
1/23/2009
11/19/2013
1/6/2014
2/10/2014
3/19/2014
1/30/2009
7/21/2011
1/23/2009
7/19/2013
7/22/2013
9/12/2013
2/6/2009
11/28/2012
11/29/2012
1/11/2013
3/26/2013
4/1/2014
6/26/2009
3/27/2013
3/28/2013
4/9/2013
12/19/2008
5/13/2009
6/17/2009
6/26/2009
2/6/2013
2/7/2013
3/26/2013
4/24/2009
12/28/2016
3/27/2009
9/18/2012
9/19/2012
9/20/2012
11/16/2012
1/30/2009
9/22/2011
3/6/2009
9/15/2011
1/9/2009
6/17/2009
7/29/2009
5/29/2009
1/26/2011
1/9/2009
11/2/2011
11/21/2008
6/19/2012
8/22/2012
12/19/2008
8/11/2011
11/2/2011
8/21/2009
3/26/2013
3/27/2013
3/28/2013
4/9/2013
1/30/2009
9/27/2013
1/30/2009
4/18/2012
3/6/2013
5/28/2015
11/21/2008
4/6/2011
9/14/2011
12/6/2011
12/29/2009
2/7/2014
2/10/2014
3/19/2014
2/27/2009
9/15/2011
1/30/2009
7/31/2013
8/28/2013
3/13/2009
7/14/2011
7/10/2009
8/18/2011
12/19/2008
8/5/2009
9/30/2009
2/20/2009
9/29/2010
4/3/2009
4/26/2013
4/29/2013
5/31/2013
12/19/2008
2/15/2013
8/14/2009
12/19/2012
12/20/2012
1/11/2013
3/26/2013
10/28/2008
1/9/2009
12/9/2009
Original Investment Type1
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Original Investment Amount
$12,000,000.00
Outstanding Investment
$0.00
Total Cash Back2
Investment Status*
$13,433,242.67 Redeemed, in full; warrants not outstanding
$4,400,000.00
$6,000,000.00
$0.00
$11,748,156.44 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
$16,369,000.00
$0.00
Preferred Stock w/ Warrants
$111,000,000.00
$0.00
$125,480,000.00 Redeemed, in full; warrants not outstanding
$10,000,000.00
$0.00
$10,870,902.67 Redeemed, in full; warrants not outstanding
$3,500,000.00
$0.00
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Warrants
$9,229,948.97 Sold, in full; warrants not outstanding
$1,274,909.59 Sold, in full; warrants outstanding
Amount
Capital Repayment / Disposition / Auction3,5
(Fee)4
Shares
Avg. Price
12,000
$1,000.00
$10,400,000.00
10,400
$1,000.00
$8,000,000.00
16,369
$488.73
$111,000,000.00
111,000
$1,000.00
$10,000,000.00
10,000
$1,000.00
2,964
$275.00
($2,148,900.00)
($385,378.64)
$815,100.00
$150,621.36
Preferred Stock w/ Exercised Warrants
$12,720,000.00
$0.00
Preferred Stock w/ Exercised Warrants
$6,514,000.00
$0.00
$15,071,769.00 Redeemed, in full; warrants not outstanding
$7,674,004.73 Sold, in full; warrants not outstanding
Preferred Stock w/ Warrants
$4,781,000.00
$0.00
$7,501,881.70 Sold, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$2,986,000.00
$0.00
$3,581,397.27 Sold, in full; warrants not outstanding
$26,918,000.00
$0.00
Subordinated Debentures w/ Exercised Warrants
$12,000,000.00
$0.00
$28,356,360.00 Redeemed, in full; warrants not outstanding
$9,806,136.60 Sold, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$3,652,000.00
$0.00
$1,453,753.00 Sold, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$70,000,000.00
$0.00
$73,129,160.69 Sold, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$3,674,000.00
$0.00
$4,387,576.45 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$2,492,000.00
$0.00
$2,960,021.33 Redeemed, in full; warrants not outstanding
$3,388,890,000.00
$0.00
$3,803,257,308.33 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
Preferred Stock w/ Exercised Warrants
$1,800,000.00
$0.00
Preferred Stock w/ Exercised Warrants
$6,000,000.00
$0.00
Preferred Stock w/ Warrants
$52,000,000.00
$0.00
$59,637,438.67 Sold, in full; warrants not outstanding
Preferred Stock w/ Warrants
$21,000,000.00
$0.00
$24,601,666.66 Redeemed, in full; warrants not outstanding
Subordinated Debentures w/ Exercised Warrants
Preferred Stock w/ Warrants
$5,000,000.00
$0.00
$2,052,682.49 Redeemed, in full; warrants not outstanding
$7,220,141.67 Redeemed, in full; warrants not outstanding
$6,523,255.00 Sold, in full; warrants not outstanding
$110,000,000.00
$0.00
$6,000,000.00 Sold, in full; warrants not outstanding
Preferred Stock w/ Warrants
$8,152,000.00
$0.00
$13,378,714.00 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
$525,000,000.00
$0.00
$596,539,172.32 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$2,000,000.00
$0.00
$2,503,554.78 Sold, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$7,400,000.00
$0.00
$8,798,415.33 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
$6,000,000.00
$0.00
$7,563,057.15 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$21,100,000.00
$0.00
$24,841,411.03 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$13,669,000.00
$0.00
$15,595,736.93 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
$30,000,000.00
$0.00
$32,341,666.66 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$48,000,000.00
$0.00
$54,607,399.33 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$8,600,000.00
$0.00
$10,701,460.58 Sold, in full; warrants not outstanding
Preferred Stock w/ Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Warrants
$50,000,000.00
$0.00
$1,004,000.00
$0.00
$15,000,000,000.00
$10,000,000,000.00
$0.00
$60,451,155.74 Redeemed, in full; warrants not outstanding
$1,114,680.76 Sold, in full; warrants not outstanding
($50,000.00)
Gain5
Warrant Proceeds
Wt Amount
Wt Shares
$326,576.00
231,782
$220,000.00
220
$3,750,000.00
837,947
$500,000.00
500
$636,000.00
636
$337,363.35
326
$2,370,908.26
175,772
$94,153.69
$44,746.31
101
48
$900,000.00
173,069
$504,900.00
600,000
($8,369,000.00)
536
$281.01
12,720
$1,000.00
893
5,621
$982.90
$982.90
($15,270.30)
($96,119.10)
234
4,547
$892.61
$892.61
($25,129.26)
($488,302.33)
2,986
$956.61
($129,562.54)
$26,918,000.00
26,918
$1,000.00
$3,375,945.00
$5,626,575.00
4,500,000
7,500,000
$0.75
$0.75
($1,124,055.00)
($1,873,425.00)
3,652
$285.87
($2,608,000.00)
344
8,056
61,600
$814.29
$814.29
$814.29
($63,884.24)
($1,496,079.76)
($11,439,736.00)
$3,291,750.00
3,500
$3,674,000.00
3,674
$1,000.00
$184,000.00
184
$2,492,000.00
2,492
$1,000.00
$125,000.00
125
$3,388,890,000.00
3,388,890
$1,000.00
$340,000,000.00
24,264,129
$1,800,000.00
1,800
$1,000.00
$90,000.00
90
$6,000,000.00
6,000
$1,000.00
$300,000.00
300
($1,506.21)
$12,720,000.00
$877,729.70
$5,524,880.90
$208,870.74
$4,058,697.67
$2,856,437.46
Preferred Stock w/ Warrants
(Realized Loss) / (Write-off)
$12,000,000.00
($64,026.11)
($42,675.67)
($7,324.33)
($25,000.00)
($90,025.20)
$1,044,000.00
$280,115.76
$6,559,920.24
$50,160,264.00
$48,391,200.00
($570,003.00)
($725,868.00)
52,000
$930.60
21,000
$1,000.00
374,000
2,200,000
2,426,000
$0.96
$0.96
$0.96
($14,960.00)
($88,000.00)
($97,040.00)
$6,000,000.00
60,000,000
$0.10
($104,000,000.00)
$4,076,000.00
$4,076,000.00
4,076
4,076
$1,000.00
$1,000.00
$262,500,000.00
$262,500,000.00
262,500
262,500
$1,000.00
$1,000.00
$1,950,000.00
$50,000.00
1,950
50
$1,150.00
$1,150.00
$7,400,000.00
7,400
$1,000.00
$6,000,000.00
6,000
$1,000.00
$21,100,000.00
21,100
$13,669,000.00
13,669
$30,000,000.00
30,000
$1,000.00
48,000
$1,000.00
100
8,500
$982.67
$982.67
50,000
$1,000.00
486
518
$929.22
$929.22
1,000,000
$25,000.00
$21,000,000.00
$359,040.00
$2,112,000.00
$2,328,960.00
($48,000.00)
($25,000.00)
$48,000,000.00
$98,267.00
$8,352,695.00
($84,509.62)
$50,000,000.00
$451,600.92
$481,335.96
$26,599,663,040.28 Redeemed, in full; warrants not outstanding
$25,000,000,000.00
($9,329.37)
($15,670.63)
($3,608,800.00)
$292,500.00
$7,500.00
$2,670,000.00
698,554
$825,000.00
1,312,500
$259,875.00
250,000
$3,735,577.67
367,916
$3,435,005.65
3,983,308
$95,031.02
$10,798.98
88
10
$370,000.00
370
$190,781.12
81,670
$1,000.00
$1,055,000.00
1,055
$1,000.00
$410,000.00
410
$1,400,000.00
192,967
$2,400,000.00
2,400
($1,733.00)
($147,305.00)
($34,399.08)
($36,664.04)
$426,338.55
430
$15,000.00
730,994
$23,500.00
50
14
Footnote
8,14
44
8
11
11
105
11
8,106
8,14,44
8,14
8,14,44
12,16
11
8,112
11
8,11,14
8,11,14
11
8,14,44
8,14,18
15,17
8
8,14
8,14
8,64,97
8
8,14,44
8
8,14,44
14,15
11
11
8
9,10,18,65,96,99,136,142,145
14,15
8,14,44
8,11,14
8,11,14
11
Institution Name
BANK OF AMERICA
BANK OF COMMERCE
BANK OF COMMERCE
BANK OF COMMERCE
BANK OF COMMERCE HOLDINGS
BANK OF COMMERCE HOLDINGS
BANK OF COMMERCE HOLDINGS
BANK OF GEORGE
BANK OF GEORGE
BANK OF GEORGE
BANK OF MARIN BANCORP
BANK OF MARIN BANCORP
BANK OF MARIN BANCORP
BANK OF NEW YORK MELLON
BANK OF NEW YORK MELLON
BANK OF NEW YORK MELLON
BANK OF THE CAROLINAS CORPORATION
BANK OF THE CAROLINAS CORPORATION
BANK OF THE OZARKS, INC.
BANK OF THE OZARKS, INC.
BANK OF THE OZARKS, INC.
BANKERS' BANK OF THE WEST BANCORP, INC.
BANKERS' BANK OF THE WEST BANCORP, INC.
BANKFIRST CAPITAL CORPORATION
BANKFIRST CAPITAL CORPORATION
BANKGREENVILLE FINANCIAL CORPORATION
BANKGREENVILLE FINANCIAL CORPORATION
BANKGREENVILLE FINANCIAL CORPORATION
BANKGREENVILLE FINANCIAL CORPORATION
BANNER CORPORATION/BANNER BANK
BANNER CORPORATION/BANNER BANK
BANNER CORPORATION/BANNER BANK
BANNER COUNTY BAN CORPORATION
BANNER COUNTY BAN CORPORATION
BAR HARBOR BANKSHARES
BAR HARBOR BANKSHARES
BAR HARBOR BANKSHARES
BB&T CORP.
BB&T CORP.
BB&T CORP.
BCB HOLDING COMPANY, INC.
BCB HOLDING COMPANY, INC.
BCSB BANCORP, INC.
BCSB BANCORP, INC.
BCSB BANCORP, INC.
BEACH BUSINESS BANK
BEACH BUSINESS BANK
BEACH BUSINESS BANK
BEACH BUSINESS BANK
BEACH BUSINESS BANK
BEACH BUSINESS BANK
BERKSHIRE BANCORP, INC. / CUSTOMERS BANCORP, INC.
BERKSHIRE BANCORP, INC. / CUSTOMERS BANCORP, INC.
BERKSHIRE HILLS BANCORP, INC.
BERKSHIRE HILLS BANCORP, INC.
BERKSHIRE HILLS BANCORP, INC.
BERN BANCSHARES, INC.
BERN BANCSHARES, INC.
BIRMINGHAM BLOOMFIELD BANCSHARES, INC.
BIRMINGHAM BLOOMFIELD BANCSHARES, INC.
BIRMINGHAM BLOOMFIELD BANCSHARES, INC.
BISCAYNE BANCSHARES, INC.
BISCAYNE BANCSHARES, INC.
BISCAYNE BANCSHARES, INC.
BISCAYNE BANCSHARES, INC.
BLACKHAWK BANCORP, INC.
BLACKHAWK BANCORP, INC.
BLACKHAWK BANCORP, INC.
BLACKHAWK BANCORP, INC.
BLACKRIDGE FINANCIAL, INC.
BLACKRIDGE FINANCIAL, INC.
BLACKRIDGE FINANCIAL, INC.
BLUE RIDGE BANCSHARES, INC.
BLUE RIDGE BANCSHARES, INC.
BLUE RIDGE BANCSHARES, INC.
BLUE RIDGE BANCSHARES, INC.
BLUE RIVER BANCSHARES, INC.
BLUE RIVER BANCSHARES, INC.
BLUE VALLEY BAN CORP
BLUE VALLEY BAN CORP
BLUE VALLEY BAN CORP
BLUE VALLEY BAN CORP
BLUE VALLEY BAN CORP
BNB FINANCIAL SERVICES CORPORATION
BNB FINANCIAL SERVICES CORPORATION
BNC BANCORP
BNC BANCORP
BNC BANCORP
BNC FINANCIAL GROUP, INC.
BNC FINANCIAL GROUP, INC.
BNCCORP, INC.
BNCCORP, INC.
BNCCORP, INC.
BNCCORP, INC.
BOH HOLDINGS, INC.
BOH HOLDINGS, INC.
BOSCOBEL BANCORP, INC.
BOSCOBEL BANCORP, INC.
BOSCOBEL BANCORP, INC.
BOSCOBEL BANCORP, INC.
BOSTON PRIVATE FINANCIAL HOLDINGS INC.
BOSTON PRIVATE FINANCIAL HOLDINGS INC.
BOSTON PRIVATE FINANCIAL HOLDINGS INC.
BOSTON PRIVATE FINANCIAL HOLDINGS INC.
BRIDGE CAPITAL HOLDINGS
BRIDGE CAPITAL HOLDINGS
BRIDGE CAPITAL HOLDINGS
BRIDGE CAPITAL HOLDINGS
BRIDGEVIEW BANCORP, INC.
BRIDGEVIEW BANCORP, INC.
BRIDGEVIEW BANCORP, INC.
BROADWAY FINANCIAL CORPORATION
BROADWAY FINANCIAL CORPORATION
BROADWAY FINANCIAL CORPORATION
BROADWAY FINANCIAL CORPORATION
BROADWAY FINANCIAL CORPORATION
BROGAN BANKSHARES, INC.
BROGAN BANKSHARES, INC.
BROGAN BANKSHARES, INC.
BROGAN BANKSHARES, INC.
BROTHERHOOD BANCSHARES, INC.
BROTHERHOOD BANCSHARES, INC.
BUSINESS BANCSHARES, INC.
BUSINESS BANCSHARES, INC.
BUSINESS BANCSHARES, INC.
BUSINESS BANCSHARES, INC.
BUTLER POINT, INC.
BUTLER POINT, INC.
C&F FINANCIAL CORPORATION
City
CHARLOTTE
CHARLOTTE
CHARLOTTE
CHARLOTTE
REDDING
REDDING
REDDING
LAS VEGAS
LAS VEGAS
LAS VEGAS
NOVATO
NOVATO
NOVATO
NEW YORK
NEW YORK
NEW YORK
MOCKSVILLE
MOCKSVILLE
LITTLE ROCK
LITTLE ROCK
LITTLE ROCK
DENVER
DENVER
MACON
MACON
GREENVILLE
GREENVILLE
GREENVILLE
GREENVILLE
WALLA WALLA
WALLA WALLA
WALLA WALLA
HARRISBURG
HARRISBURG
BAR HARBOR
BAR HARBOR
BAR HARBOR
WINSTON-SALEM
WINSTON-SALEM
WINSTON-SALEM
THEODORE
THEODORE
BALTIMORE
BALTIMORE
BALTIMORE
MANHATTAN BEACH
MANHATTAN BEACH
MANHATTAN BEACH
MANHATTAN BEACH
MANHATTAN BEACH
MANHATTAN BEACH
PHOENIXVILLE
PHOENIXVILLE
PITTSFIELD
PITTSFIELD
PITTSFIELD
BERN
BERN
BIRMINGHAM
BIRMINGHAM
BIRMINGHAM
COCONUT GROVE
COCONUT GROVE
COCONUT GROVE
COCONUT GROVE
BELOIT
BELOIT
BELOIT
BELOIT
FARGO
FARGO
FARGO
INDEPENDENCE
INDEPENDENCE
INDEPENDENCE
INDEPENDENCE
SHELBYVILLE
SHELBYVILLE
OVERLAND PARK
OVERLAND PARK
OVERLAND PARK
OVERLAND PARK
OVERLAND PARK
NEW YORK
NEW YORK
THOMASVILLE
THOMASVILLE
THOMASVILLE
NEW CANAAN
NEW CANAAN
BISMARCK
BISMARCK
BISMARCK
BISMARCK
HOUSTON
HOUSTON
BOSCOBEL
BOSCOBEL
BOSCOBEL
BOSCOBEL
BOSTON
BOSTON
BOSTON
BOSTON
SAN JOSE
SAN JOSE
SAN JOSE
SAN JOSE
BRIDGEVIEW
BRIDGEVIEW
BRIDGEVIEW
LOS ANGELES
LOS ANGELES
LOS ANGELES
LOS ANGELES
LOS ANGELES
KAUKAUNA
KAUKAUNA
KAUKAUNA
KAUKAUNA
KANSAS CITY
KANSAS CITY
CLAYTON
CLAYTON
CLAYTON
CLAYTON
CATLIN
CATLIN
WEST POINT
State
NC
NC
NC
NC
CA
CA
CA
NV
NV
NV
CA
CA
CA
NY
NY
NY
NC
NC
AR
AR
AR
CO
CO
MS
MS
SC
SC
SC
SC
WA
WA
WA
NE
NE
ME
ME
ME
NC
NC
NC
AL
AL
MD
MD
MD
CA
CA
CA
CA
CA
CA
PA
PA
MA
MA
MA
KS
KS
MI
MI
MI
FL
FL
FL
FL
WI
WI
WI
WI
ND
ND
ND
MO
MO
MO
MO
IN
IN
KS
KS
KS
KS
KS
NY
NY
NC
NC
NC
CT
CT
ND
ND
ND
ND
TX
TX
WI
WI
WI
WI
MA
MA
MA
MA
CA
CA
CA
CA
IL
IL
IL
CA
CA
CA
CA
CA
WI
WI
WI
WI
KS
KS
MO
MO
MO
MO
IL
IL
VA
Date
3/9/2010
1/16/2009
11/30/2012
1/11/2013
11/14/2008
9/27/2011
10/26/2011
3/13/2009
10/21/2013
1/6/2014
12/5/2008
3/31/2009
11/23/2011
10/28/2008
6/17/2009
8/5/2009
4/17/2009
7/16/2014
12/12/2008
11/4/2009
11/24/2009
1/30/2009
4/24/2014
1/23/2009
9/8/2011
2/13/2009
11/9/2012
1/11/2013
3/26/2013
11/21/2008
4/3/2012
6/12/2013
2/6/2009
7/28/2011
1/16/2009
2/24/2010
7/28/2010
11/14/2008
6/17/2009
7/22/2009
4/3/2009
7/1/2014
12/23/2008
1/26/2011
4/19/2013
1/30/2009
7/6/2011
10/19/2011
3/7/2012
6/6/2012
6/27/2012
6/12/2009
12/28/2011
12/19/2008
5/27/2009
6/24/2009
2/13/2009
9/1/2011
4/24/2009
12/18/2009
7/28/2011
6/19/2009
2/7/2013
2/8/2013
3/26/2013
3/13/2009
10/29/2012
10/31/2012
1/11/2013
5/22/2009
6/27/2012
9/12/2012
3/6/2009
10/29/2012
10/31/2012
1/11/2013
3/6/2009
2/10/2012
12/5/2008
10/18/2013
10/21/2013
1/6/2014
1/7/2015
4/17/2009
8/30/2013
12/5/2008
8/29/2012
9/19/2012
2/27/2009
8/4/2011
1/16/2009
3/14/2014
3/17/2014
4/25/2014
3/6/2009
7/14/2011
5/15/2009
3/8/2013
3/11/2013
4/9/2013
11/21/2008
1/13/2010
6/16/2010
2/7/2011
12/23/2008
2/23/2011
3/16/2011
4/20/2011
12/19/2008
11/19/2013
1/6/2014
11/14/2008
12/4/2009
12/22/2016
6/29/2017
9/21/2017
5/15/2009
4/26/2013
4/29/2013
5/31/2013
7/17/2009
9/15/2011
4/24/2009
5/23/2012
1/9/2013
4/24/2013
3/13/2009
11/2/2011
1/9/2009
1
Original Investment Type
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Exercised Warrants
Original Investment Amount
Outstanding Investment
$3,000,000.00
$0.00
$17,000,000.00
$0.00
$2,672,000.00
$0.00
Preferred Stock w/ Warrants
$28,000,000.00
2
Total Cash Back
Investment Status*
$3,087,573.33 Sold, in full; warrants not outstanding
$19,564,027.78 Redeemed, in full; warrants not outstanding
$1,233,940.00 Sold, in full; warrants not outstanding
$0.00
$30,155,095.11 Redeemed, in full; warrants not outstanding
$3,231,416,666.67 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
$3,000,000,000.00
$0.00
Preferred Stock w/ Warrants
$13,179,000.00
$0.00
Preferred Stock w/ Warrants
$75,000,000.00
$0.00
$81,004,166.67 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$12,639,000.00
$0.00
$17,097,990.60 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$15,500,000.00
$0.00
$18,492,469.25 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$1,000,000.00
$0.00
Preferred Stock w/ Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Warrants
$4,334,427.00 Sold, in full; warrants not outstanding
$1,100,653.50 Sold, in full; warrants not outstanding
$124,000,000.00
$0.00
$129,079,862.47 Sold, in full; warrants not outstanding
$795,000.00
$0.00
$942,411.42 Redeemed, in full; warrants not outstanding
$18,751,000.00
$0.00
$20,037,514.11 Redeemed, in full; warrants not outstanding
$3,133,640,000.00
$0.00
$1,706,000.00
$0.00
$3,293,353,918.53 Redeemed, in full; warrants not outstanding
$2,315,853.14 Redeemed, in full; warrants not outstanding
$10,800,000.00
$0.00
$13,371,500.00 Redeemed, in full; warrants not outstanding
$6,000,000.00
$0.00
$7,263,316.66 Redeemed, in full; warrants not outstanding
$2,892,000.00
$0.00
$3,444,478.21 Redeemed, in full; warrants not outstanding
$40,000,000.00
$0.00
$41,917,777.78 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$985,000.00
$0.00
$1,172,062.50 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$1,635,000.00
$1,744,000.00
$0.00
$3,803,022.67 Redeemed, in full; warrants not outstanding
$6,400,000.00
$0.00
$8,271,975.28 Sold, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$10,000,000.00
$0.00
$11,459,461.11 Sold, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$5,000,000.00
$0.00
Preferred Stock w/ Exercised Warrants
$12,000,000.00
$0.00
Subordinated Debentures w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Warrants
$5,000,000.00
$0.00
$21,750,000.00
$0.00
$7,500,000.00
$0.00
$31,260,000.00
$0.00
Preferred Stock w/ Exercised Warrants
$4,797,000.00
$0.00
Preferred Stock w/ Exercised Warrants
$20,093,000.00
$0.00
Preferred Stock w/ Exercised Warrants
Subordinated Debentures w/ Exercised Warrants
$10,000,000.00
$0.00
$5,586,000.00
$0.00
$6,127,326.35 Redeemed, in full; warrants not outstanding
$11,938,437.34 Sold, in full; warrants not outstanding
$21,264,901.65 Sold, in full; warrants not outstanding
$9,776,051.62 Redeemed, in full; warrants not outstanding
$35,140,666.12 Sold, in full; warrants not outstanding
$5,673,920.75 Redeemed, in full; warrants not outstanding
$26,941,865.35 Sold, in full; warrants not outstanding
$11,783,777.44 Redeemed, in full; warrants not outstanding
$6,947,457.50 Sold, in full; warrants not outstanding
$154,000,000.00
$0.00
$171,224,745.48 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
$23,864,000.00
$0.00
$27,872,582.22 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$38,000,000.00
$0.00
$13,447,811.37 Sold, in full; warrants not outstanding
Preferred Stock w/ Warrants
$9,000,000.00
$6,000,000.00
$3,984,331.76
Subordinated Debentures w/ Exercised Warrants
$2,400,000.00
$0.00
Preferred Stock w/ Exercised Warrants
$11,000,000.00
$0.00
$12,845,586.01 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$15,000,000.00
$0.00
$18,707,708.84 Redeemed, in full; warrants not outstanding
$607,000.00
$0.00
$724,123.53 Redeemed, in full; warrants not outstanding
$20,000,000.00
$0.00
$25,205,957.78 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
$2,502,000.00
4
Shares
Avg. Price
$834.00
17,000
$1,000.00
2,672
$357.50
$28,000,000.00
28,000
$1,000.00
$3,000,000,000.00
3,000,000
$1,000.00
($25,000.00)
$17,000,000.00
$955,240.00
($25,000.00)
(Realized Loss) / (Write-off)
Gain
5
($498,000.00)
($1,716,760.00)
Wt Amount
$305,913,040.28
Wt Shares
121,792,790
$100,100.00
150
$125,000.00
405,405
$23,709.00
134
$1,703,984.00
154,908
$136,000,000.00
14,516,129
$3,294,750.00
13,179
$250.00
$75,000,000.00
75,000
$1,000.00
$2,650,000.00
379,811
$12,639,000.00
12,639
$1,000.00
$632,000.00
632
$15,500,000.00
15,500
$1,000.00
$775,000.00
775
1,000
$900.00
($100,000.00)
$21,880.50
50
($14,282,320.00)
$134,201.00
243,998
$900,000.00
$109,717,680.00
($9,000.00)
($16,000.00)
124,000
$884.82
$795,000.00
795
$1,000.00
$18,751,000.00
18,751
$1,000.00
$3,133,640,000.00
3,134
$1,000,000.00
$1,706,000.00
1,706
$1,000.00
$10,800,000.00
10,800
$1,000.00
($1,645,765.20)
$1,500,000.00
$1,500,000.00
$1,500,000.00
$1,200,000.00
$300,000.00
1,500
1,500
1,500
1,200
300
$2,892,000.00
$40,000,000.00
($9,884,250.00)
$40,000.00
4
$250,000.00
52,455
$67,010,401.86
13,902,573
$85,000.00
85
$1,442,000.00
183,465
$1,000.00
$1,000.00
$1,000.00
$1,000.00
$1,000.00
$300,000.00
300
2,892
$1,000.00
$145,000.00
145
40,000
$1,000.00
$1,040,000.00
226,330
$985,000.00
985
$1,000.00
$50,000.00
5
$3,379,000.00
3,379
$1,000.00
$82,000.00
82
$2,532,140.00
$3,700,820.00
2,600,000
3,800,000
$0.97
$0.97
($67,860.00)
($99,180.00)
$64,158.97
$140,347.75
64,000
140,000
205
9,795
$910.00
$910.00
($18,450.00)
($881,550.00)
$470,250.00
500
$2,250,000.00
$2,750,000.00
2,250
2,750
$1,000.00
$1,000.00
$250,000.00
250
$19,630.00
$9,040,370.00
26
11,974
$755.00
$755.00
$541,793.34
600
$3,056.00
130,977
$186,550.00
$8,913,450.00
($62,329.60)
($91,000.00)
($90,600.00)
($6,370.00)
($2,933,630.00)
($5,000,000.00)
$3,177,232.50
$18,085,785.00
($212,630.18)
$7,500,000.00
$28,797,649.80
($431,964.75)
$4,797,000.00
3,250
18,500
$977.61
$977.61
7,500
$1,000.00
31,260
$921.23
($72,767.50)
($414,215.00)
($2,462,350.20)
4,797
$1,000.00
143
19,950
$1,001.08
$1,001.08
$10,000,000.00
10,000
$1,000.00
$5,586,000.00
5,586,000
$1.11
$50,000,000.00
$104,000,000.00
50,000
104,000
$1,000.00
$1,000.00
$15,000,000.00
$8,864,000.00
15,000
8,864
$1,000.00
$1,000.00
38,000
$275.00
$6,952,779.42
$2,708,592.55
$1,354,296.27
4,702,860
1,832,092
916,046
$1.59
$1.90
$2.05
$524,767.98
$772,382.25
$523,598.03
$60,000.00
$2,340,000.00
60,000
2,340,000
$1.05
$1.05
$3,000.60
$117,023.40
$11,000,000.00
11,000
$1,000.00
$6,000,000.00
$2,500,000.00
$6,500,000.00
6,000
2,500
6,500
$607,000.00
607
$143,000.00
$19,950,000.00
$10,450,000.00
$13,646,833.17 Sold, in part; warrants not outstanding
$3,022,879.60 Sold, in full; warrants not outstanding
(Fee)
3,000
$529,105.00 Currently Not Collectible
Preferred Stock w/ Warrants
Preferred Stock w/ Exercised Warrants
Amount
($201,147.00)
($61,787.30)
($104,500.00)
($25,000.00)
$154.44
$21,546.00
$375,000.00
375
$939,920.00
543,337
$240,000.00
240
$29,737.13
$966,456.56
30
975
$500,000.00
500
$232,180.54
$129,709.80
179,000
100,000
$6,202,523.25
2,887,500
$1,395,000.00
396,412
$709,155.81
1,900
$125,135.60
120,000
$550,000.00
550
$1,000.00
$1,000.00
$1,000.00
$750,000.00
750
$1,000.00
$30,000.00
30
$592,730.46
($27,550,000.00)
15
Footnote
8,14,18,44
125
8,14,44
8,11,14
8
8,130
8,11,14
39
8,128
11
8,14
14,15,45
11
9,11,36
11
8,14,18,44
8,57,97
8,18
8,14
143,146
8
44
11,59
8,14
12,16
8,11,14
45
8,113
8,11,14
8,14
11
40
45
93
8,17,44
8,14,44
14,15
Institution Name
C&F FINANCIAL CORPORATION
C&F FINANCIAL CORPORATION
C&F FINANCIAL CORPORATION
CACHE VALLEY BANKING COMPANY
CACHE VALLEY BANKING COMPANY
CACHE VALLEY BANKING COMPANY
CADENCE FINANCIAL CORPORATION
CADENCE FINANCIAL CORPORATION
CALIFORNIA BANK OF COMMERCE
CALIFORNIA BANK OF COMMERCE
CALIFORNIA OAKS STATE BANK
CALIFORNIA OAKS STATE BANK
CALVERT FINANCIAL CORPORATION
CALVERT FINANCIAL CORPORATION
CALWEST BANCORP
CALWEST BANCORP
CAPITAL BANCORP, INC.
CAPITAL BANCORP, INC.
CAPITAL BANK CORPORATION
CAPITAL BANK CORPORATION
CAPITAL COMMERCE BANCORP, INC.
CAPITAL COMMERCE BANCORP, INC.
CAPITAL ONE FINANCIAL CORP
CAPITAL ONE FINANCIAL CORP
CAPITAL ONE FINANCIAL CORP
CAPITAL PACIFIC BANCORP
CAPITAL PACIFIC BANCORP
CAPITAL PACIFIC BANCORP
CAPITAL PACIFIC BANCORP
CARDINAL BANCORP II, INC.
CARDINAL BANCORP II, INC.
CAROLINA BANK HOLDINGS, INC.
CAROLINA BANK HOLDINGS, INC.
CAROLINA BANK HOLDINGS, INC.
CAROLINA BANK HOLDINGS, INC.
CAROLINA BANK HOLDINGS, INC.
CAROLINA TRUST BANK
CAROLINA TRUST BANK
CAROLINA TRUST BANK
CAROLINA TRUST BANK
CAROLINA TRUST BANK
CARROLLTON BANCORP
CARROLLTON BANCORP
CARVER BANCORP, INC.
CARVER BANCORP, INC.
CASCADE FINANCIAL CORPORATION
CASCADE FINANCIAL CORPORATION
CATHAY GENERAL BANCORP
CATHAY GENERAL BANCORP
CATHAY GENERAL BANCORP
CATHAY GENERAL BANCORP
CATSKILL HUDSON BANCORP, INC.
CATSKILL HUDSON BANCORP, INC.
CATSKILL HUDSON BANCORP, INC.
CB HOLDING CORP.
CB HOLDING CORP.
CBB BANCORP
CBB BANCORP
CBB BANCORP
CBB BANCORP
CBB BANCORP
CBB BANCORP
CBS BANC-CORP.
CBS BANC-CORP.
CBS BANC-CORP.
CBS BANC-CORP.
CBS BANC-CORP.
CECIL BANCORP, INC.
CECIL BANCORP, INC.
CECIL BANCORP, INC.
CEDARSTONE BANK
CEDARSTONE BANK
CENTER BANCORP, INC.
CENTER BANCORP, INC.
CENTER BANCORP, INC.
CENTER FINANCIAL CORPORATION / BBCN BANCORP, INC.
CENTER FINANCIAL CORPORATION / BBCN BANCORP, INC.
CENTER FINANCIAL CORPORATION / BBCN BANCORP, INC.
CENTERBANK
CENTERBANK
CENTERBANK
CENTERBANK
CENTERBANK
CENTERSTATE BANKS OF FLORIDA INC.
CENTERSTATE BANKS OF FLORIDA INC.
CENTERSTATE BANKS OF FLORIDA INC.
CENTRA FINANCIAL HOLDINGS, INC.
CENTRA FINANCIAL HOLDINGS, INC.
CENTRA FINANCIAL HOLDINGS, INC.
CENTRAL BANCORP, INC. (MA)
CENTRAL BANCORP, INC. (MA)
CENTRAL BANCORP, INC. (MA)
CENTRAL BANCORP, INC. (TX)
CENTRAL BANCORP, INC. (TX)
CENTRAL BANCSHARES, INC.
CENTRAL BANCSHARES, INC.
CENTRAL COMMUNITY CORPORATION
CENTRAL COMMUNITY CORPORATION
CENTRAL COMMUNITY CORPORATION
CENTRAL COMMUNITY CORPORATION
CENTRAL FEDERAL CORPORATION
CENTRAL FEDERAL CORPORATION
CENTRAL JERSEY BANCORP
CENTRAL JERSEY BANCORP
CENTRAL JERSEY BANCORP
CENTRAL PACIFIC FINANCIAL CORP.
CENTRAL PACIFIC FINANCIAL CORP.
CENTRAL PACIFIC FINANCIAL CORP.
CENTRAL PACIFIC FINANCIAL CORP.
CENTRAL VALLEY COMMUNITY BANCORP
CENTRAL VALLEY COMMUNITY BANCORP
CENTRAL VALLEY COMMUNITY BANCORP
CENTRAL VIRGINIA BANKSHARES, INC.
CENTRAL VIRGINIA BANKSHARES, INC.
CENTRIC FINANCIAL CORPORATION
CENTRIC FINANCIAL CORPORATION
CENTRIX BANK & TRUST
CENTRIX BANK & TRUST
CENTRUE FINANCIAL CORPORATION
CENTRUE FINANCIAL CORPORATION
CENTRUE FINANCIAL CORPORATION
CENTRUE FINANCIAL CORPORATION
CENTRUE FINANCIAL CORPORATION
CENTRUE FINANCIAL CORPORATION
CENTRUE FINANCIAL CORPORATION
CENTRUE FINANCIAL CORPORATION
CENTURY FINANCIAL SERVICES CORPORATION
CENTURY FINANCIAL SERVICES CORPORATION
CENTURY FINANCIAL SERVICES CORPORATION
City
WEST POINT
WEST POINT
WEST POINT
LOGAN
LOGAN
LOGAN
STARKVILLE
STARKVILLE
LAFAYETTE
LAFAYETTE
THOUSAND OAKS
THOUSAND OAKS
ASHLAND
ASHLAND
RANCHO SANTA MARGARITA
RANCHO SANTA MARGARITA
ROCKVILLE
ROCKVILLE
RALEIGH
RALEIGH
MILWAUKEE
MILWAUKEE
MCLEAN
MCLEAN
MCLEAN
PORTLAND
PORTLAND
PORTLAND
PORTLAND
WASHINGTON
WASHINGTON
GREENSBORO
GREENSBORO
GREENSBORO
GREENSBORO
GREENSBORO
LINCOLNTON
LINCOLNTON
LINCOLNTON
LINCOLNTON
LINCOLNTON
BALTIMORE
BALTIMORE
NEW YORK
NEW YORK
EVERETT
EVERETT
LOS ANGELES
LOS ANGELES
LOS ANGELES
LOS ANGELES
ROCK HILL
ROCK HILL
ROCK HILL
ALEDO
ALEDO
CARTERSVILLE
CARTERSVILLE
CARTERSVILLE
CARTERSVILLE
CARTERSVILLE
CARTERSVILLE
RUSSELLVILLE
RUSSELLVILLE
RUSSELLVILLE
RUSSELLVILLE
RUSSELLVILLE
ELKTON
ELKTON
ELKTON
LEBANON
LEBANON
UNION
UNION
UNION
LOS ANGELES
LOS ANGELES
LOS ANGELES
MILFORD
MILFORD
MILFORD
MILFORD
MILFORD
DAVENPORT
DAVENPORT
DAVENPORT
MORGANTOWN
MORGANTOWN
MORGANTOWN
SOMERVILLE
SOMERVILLE
SOMERVILLE
GARLAND
GARLAND
HOUSTON
HOUSTON
TEMPLE
TEMPLE
TEMPLE
TEMPLE
FAIRLAWN
FAIRLAWN
OAKHURST
OAKHURST
OAKHURST
HONOLULU
HONOLULU
HONOLULU
HONOLULU
FRESNO
FRESNO
FRESNO
POWHATAN
POWHATAN
HARRISBURG
HARRISBURG
BEDFORD
BEDFORD
OTTAWA
OTTAWA
OTTAWA
OTTAWA
OTTAWA
OTTAWA
OTTAWA
OTTAWA
SANTA FE
SANTA FE
SANTA FE
State
VA
VA
VA
UT
UT
UT
MS
MS
CA
CA
CA
CA
MO
MO
CA
CA
MD
MD
NC
NC
WI
WI
VA
VA
VA
OR
OR
OR
OR
MO
MO
NC
NC
NC
NC
NC
NC
NC
NC
NC
NC
MD
MD
NY
NY
WA
WA
CA
CA
CA
CA
NY
NY
NY
IL
IL
GA
GA
GA
GA
GA
GA
AL
AL
AL
AL
AL
MD
MD
MD
TN
TN
NJ
NJ
NJ
CA
CA
CA
OH
OH
OH
OH
OH
FL
FL
FL
WV
WV
WV
MA
MA
MA
TX
TX
TX
TX
TX
TX
TX
TX
OH
OH
NJ
NJ
NJ
HI
HI
HI
HI
CA
CA
CA
VA
VA
PA
PA
NH
NH
IL
IL
IL
IL
IL
IL
IL
IL
NM
NM
NM
Date
7/27/2011
4/11/2012
5/14/2014
12/23/2008
12/18/2009
7/14/2011
1/9/2009
3/4/2011
2/27/2009
9/15/2011
1/23/2009
12/8/2010
1/23/2009
2/17/2016
1/23/2009
12/23/2015
12/23/2008
12/30/2010
12/12/2008
1/28/2011
4/10/2009
10/2/2015
11/14/2008
6/17/2009
12/9/2009
12/23/2008
11/8/2012
11/9/2012
1/11/2013
10/23/2009
9/8/2011
1/9/2009
2/20/2013
2/21/2013
3/26/2013
4/19/2013
2/6/2009
11/30/2012
1/11/2013
3/26/2013
6/11/2013
2/13/2009
4/19/2013
1/16/2009
8/27/2010
11/21/2008
6/30/2011
12/5/2008
3/20/2013
9/30/2013
12/9/2013
2/27/2009
12/22/2009
7/21/2011
5/29/2009
10/14/2011
2/20/2009
12/29/2009
11/28/2012
11/29/2012
1/11/2013
3/26/2013
3/27/2009
8/7/2012
8/9/2012
8/10/2012
9/11/2012
12/23/2008
6/30/2017
10/26/2017
2/6/2009
11/20/2013
1/9/2009
9/15/2011
12/7/2011
12/12/2008
6/27/2012
5/27/2015
5/1/2009
10/29/2012
11/1/2012
1/11/2013
3/26/2013
11/21/2008
9/30/2009
10/28/2009
1/16/2009
3/31/2009
4/15/2009
12/5/2008
8/25/2011
10/19/2011
2/27/2009
8/29/2014
1/30/2009
7/6/2011
2/20/2009
12/10/2012
12/11/2012
1/11/2013
12/5/2008
9/26/2012
12/23/2008
11/24/2010
12/1/2010
1/9/2009
6/22/2011
4/4/2012
6/11/2013
1/30/2009
8/18/2011
9/28/2011
1/30/2009
10/1/2013
12/18/2009
7/14/2011
2/6/2009
7/28/2011
1/9/2009
9/25/2013
10/18/2013
10/29/2013
1/6/2014
2/10/2014
3/19/2014
10/15/2014
6/19/2009
12/19/2012
12/20/2012
1
Original Investment Type
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Warrants
Original Investment Amount
$4,767,000.00
$4,640,000.00
Outstanding Investment
$0.00
2
Total Cash Back
Investment Status*
$44,000,000.00
$0.00
$4,000,000.00
$0.00
$4,755,899.67 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$3,300,000.00
$0.00
$3,802,219.25 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$1,037,000.00
$0.00
$1,604,019.48 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$4,656,000.00
$0.00
$5,285,163.67 Sold, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$4,700,000.00
$0.00
$5,452,281.19 Redeemed, in full; warrants not outstanding
$41,279,000.00
$0.00
$45,252,104.25 Redeemed, in full; warrants not outstanding
$5,100,000.00
$0.00
$3,555,199,000.00
$0.00
$4,000,000.00
$0.00
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Exercised Warrants
Subordinated Debentures w/ Exercised Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock
$6,251,000.00
$0.00
$16,000,000.00
$0.00
$4,000,000.00
$0.00
$41,984,062.50 Sold, in full; warrants not outstanding
$2,764,934.40 Sold, in full; warrants not outstanding
$3,806,873,702.13 Redeemed, in full; warrants not outstanding
$4,742,850.89 Sold, in full; warrants not outstanding
$7,547,479.56 Redeemed, in full; warrants not outstanding
$19,941,788.94 Sold, in full; warrants not outstanding
$3,994,452.00 Sold, in full; warrants not outstanding
$9,201,000.00
$0.00
$11,388,958.51 Redeemed, in full; warrants not outstanding
$18,980,000.00
$0.00
$20,511,580.55 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
$38,970,000.00
$0.00
Preferred Stock w/ Warrants
$258,000,000.00
$0.00
$329,874,444.96 Redeemed, in full; warrants not outstanding
$3,000,000.00
$3,500,000.00
$0.00
$7,448,071.47 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$4,114,000.00
$0.00
Preferred Stock w/ Exercised Warrants
$2,644,000.00
$1,753,000.00
$0.00
Preferred Stock w/ Exercised Warrants
$17,678,900.00 Sold, in full; warrants not outstanding
$271,579.53 Currently Not Collectible
Shares
10,000
10,000
Avg. Price
$1,000.00
$1,000.00
$9,407,000.00
9,407
$1,000.00
$38,000,000.00
44,000
$863.64
$4,000,000.00
4,000
$3,300,000.00
3,300
$1,037,000.00
1,037
$4,656,000.00
24,445,000
$0.20
$4,700,000.00
4,700
$1,000.00
$41,279,000.00
41,279
$1,000.00
$2,455,328.00
1,227,664
$2.00
$3,555,199,000.00
3,555,199
$1,000.00
$247,727.04
$3,505,712.96
264
3,736
$938.36
$938.36
6,251,000
$1.00
15,534
466
$935.10
$935.10
($1,008,156.60)
($30,243.40)
4,000
$853.00
($588,000.00)
$0.00
Preferred Stock w/ Warrants
$11,560,000.00
$0.00
$1,396,988.89 Exited bankruptcy/Receivership
$14,525,843.40
$435,756.60
$3,412,000.00
$3,564,000.00
$0.00
$4,672,098.50 Redeemed, in full; warrants not outstanding
$10,000,000.00
$0.00
$11,586,666.67 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$55,000,000.00
$0.00
$2,250,000.00
$0.00
$65,855,083.33 Redeemed, in full; warrants not outstanding
$2,344,662.43 Sold, in full; warrants not outstanding
$27,875,000.00
$0.00
$29,283,302.58 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$15,000,000.00
$0.00
$15,922,937.50 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
$10,000,000.00
$0.00
$13,886,111.11 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$22,500,000.00
$0.00
$31,086,221.13 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$5,800,000.00
$0.00
Preferred Stock w/ Exercised Warrants
$22,000,000.00
$0.00
$6,859,176.83 Redeemed, in full; warrants not outstanding
$25,797,528.80 Sold, in full; warrants not outstanding
Preferred Stock w/ Warrants
$7,225,000.00
$0.00
Preferred Stock w/ Warrants
$11,300,000.00
$0.00
$12,704,145.10 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
$135,000,000.00
$0.00
$75,036,891.42 Sold, in full; warrants not outstanding
Preferred Stock w/ Warrants
$7,000,000.00
$0.00
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Warrants
$3,612,118.06 Sold, in full; warrants not outstanding
$8,077,516.47 Redeemed, in full; warrants not outstanding
$11,385,000.00
$0.00
$3,800,656.00 Sold, in full; warrants not outstanding
$6,056,000.00
$0.00
$6,739,821.89 Redeemed, in full; warrants not outstanding
$7,500,000.00
$0.00
$32,668,000.00
$0.00
$10,000,000.00
$0.00
5
($149,616.00)
($34,120.00)
($15,880.00)
$8,887,791.42 Redeemed, in full; warrants not outstanding
$11,205,387.14 Sold, in full; warrants not outstanding
$13,186,960.25 Sold, in full; warrants not outstanding
Wt Amount
Wt Shares
167,504
238
$1,000.00
$200,000.00
200
$1,000.00
$165,000.00
165
$1,000.00
$52,000.00
52
$235,000.00
235
$146,500,064.55
12,657,960
9,201
$1,000.00
18,980
$1,000.00
$16,250,000.00
38,970
$416.99
$129,000,000.00
$129,000,000.00
129,000
129,000
$1,000.00
$1,000.00
$6,500,000.00
6,500
$1,000.00
($6,000,000.00)
$233,000.00
($2,644,672.00)
($16,272.96)
($230,287.04)
$169,042.00
200
$313,000.00
313,000
$1,800,000.00
357,675
$19,132.00
86,957
$213,594.16
205,379
$13,107,778.30
1,846,374
$263,000.00
263
($22,720,000.00)
($4,114,000.00)
1,360
3,037
$932.96
$932.26
($91,174.40)
($205,740.14)
$115,861.34
132
1,020
23,280
$905.20
$905.20
($96,696.00)
($2,206,944.00)
$287,213.85
$689,313.24
$131,297.76
315
756
144
$3,564,000.00
3,564
$1,000.00
$10,000,000.00
10,000
$1,000.00
$55,000,000.00
55,000
$1,000.00
$24,750.00
$1,831,500.00
30
2,220
$825.00
$825.00
$27,875,000.00
27,875
$1,000.00
$15,000,000.00
15,000
$1,000.00
$10,000,000.00
10,000
$1,000.00
$22,500,000.00
22,500
$5,800,000.00
5,800
$5,333,059.60
$15,043,340.40
5,758
16,242
$926.20
$926.20
($424,940.40)
($1,198,659.60)
($4,225,000.00)
($32,969.92)
($363.42)
($219,963.60)
($11,560,000.00)
($18,562.50)
($6,437.50)
($203,764.00)
$212,000.00
125,413
$1,125,000.00
1,125
$290,000.00
290
$1,058,725.80
1,100
$319,658.99
268,621
$751,888.00
79,288
$185,016.80
79,067
$182,000.00
182
$375,000.00
375
2,850,000
2,770,117
$12.75
$13.15
$7,000,000.00
7,000
$1,000.00
$3,350,000.00
11,385
$294.25
($32,121,928.87)
($30,113,532.58)
($8,035,000.00)
6,056
$1,000.00
$7,500,000.00
7,500
$1,000.00
$8,211,450.00
$1,950,000.00
25,266
6,000
$325.00
$325.00
($17,054,550.00)
($4,050,000.00)
1,402
$412.01
($824,361.98)
40,000
9,960,000
$0.99
$0.99
($600.00)
($149,400.00)
$39,400.00
$9,810,600.00
113
$1,000.00
$415.22
($5,776.38)
350,767
$84,057.43
$1,000.00
$1,000.00
($82,114.50)
($19,500.00)
$1,115,500.00
750
7,225
$6,056,000.00
178
86,705
234,742
11,300
($454,218.75)
($387,816.38)
$178,000.00
$245,000.00
$2,525,000.00
$11,300,000.00
$36,337,500.00
$36,427,038.55
($5,250.00)
($388,500.00)
$880,000.00
$750,000.00
$3,000,000.00
$577,638.02
Subordinated Debentures w/ Exercised Warrants
Gain
$238,000.00
$9,201,000.00
$27,432,357.95 Sold, in full; warrants not outstanding
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
(Realized Loss) / (Write-off)
$2,303,180.00
$18,980,000.00
$923,304.00
$21,073,056.00
Preferred Stock w/ Warrants
($25,000.00)
$6,251,000.00
$1,268,825.60
$2,831,259.86
$24,300,000.00
Preferred Stock w/ Warrants
4
$4,982,141.86 Sold, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
(Fee)
$10,674,333.80 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Amount
$10,000,000.00
$10,000,000.00
$2,000.00
508,320
$198,635.58
$297,953.37
200,000
300,000
16
Footnote
15
8
23
19,30
11
8,55,97
8,14
9,11,36
8
8,138
8,14,44
11
86
45
8,9,124
11
8,14
82
8,17
45
44
8,14
8,11,14
11,16
8,14,44
11
11
14,15
8,14
8,11,14
8,11,14
8,11,14
8,17
9,11,36
44
11,101
8,14
81
8,14,76
8
8,14,44
Institution Name
CENTURY FINANCIAL SERVICES CORPORATION
CHAMBERS BANCSHARES, INC.
CHAMBERS BANCSHARES, INC.
CHICAGO SHORE CORPORATION
CHICAGO SHORE CORPORATION
CHICAGO SHORE CORPORATION
CHICAGO SHORE CORPORATION
CIT GROUP INC.
CIT GROUP INC.
CITIGROUP INC.
CITIGROUP INC.
CITIGROUP INC.
CITIZENS & NORTHERN CORPORATION
CITIZENS & NORTHERN CORPORATION
CITIZENS & NORTHERN CORPORATION
CITIZENS BANCORP
CITIZENS BANCORP
CITIZENS BANCSHARES CO.
CITIZENS BANCSHARES CO.
CITIZENS BANCSHARES CO.
CITIZENS BANCSHARES CO.
CITIZENS BANCSHARES CORPORATION
CITIZENS BANCSHARES CORPORATION
CITIZENS BANK & TRUST COMPANY, ESTABLISHED 1945
CITIZENS BANK & TRUST COMPANY, ESTABLISHED 1945
CITIZENS BANK & TRUST COMPANY, ESTABLISHED 1945
CITIZENS COMMERCE BANCSHARES, INC.
CITIZENS COMMERCE BANCSHARES, INC.
CITIZENS COMMUNITY BANK
CITIZENS COMMUNITY BANK
CITIZENS FIRST CORPORATION
CITIZENS FIRST CORPORATION
CITIZENS FIRST CORPORATION
CITIZENS FIRST CORPORATION
CITIZENS FIRST CORPORATION
CITIZENS REPUBLIC BANCORP, INC. / FIRSTMERIT CORPORATION
CITIZENS REPUBLIC BANCORP, INC. / FIRSTMERIT CORPORATION
CITIZENS REPUBLIC BANCORP, INC. / FIRSTMERIT CORPORATION
CITIZENS SOUTH BANKING CORPORATION
CITIZENS SOUTH BANKING CORPORATION
CITIZENS SOUTH BANKING CORPORATION
CITY NATIONAL BANCSHARES CORPORATION
CITY NATIONAL BANCSHARES CORPORATION
CITY NATIONAL CORPORATION
CITY NATIONAL CORPORATION
CITY NATIONAL CORPORATION
CITY NATIONAL CORPORATION
CLOVER COMMUNITY BANKSHARES, INC.
CLOVER COMMUNITY BANKSHARES, INC.
CLOVER COMMUNITY BANKSHARES, INC.
CLOVER COMMUNITY BANKSHARES, INC.
COASTAL BANKING COMPANY, INC.
COASTAL BANKING COMPANY, INC.
COASTAL BANKING COMPANY, INC.
COASTAL BANKING COMPANY, INC.
COASTAL BANKING COMPANY, INC.
COASTAL BANKING COMPANY, INC.
COASTALSOUTH BANCHARES, INC.
COASTALSOUTH BANCHARES, INC.
COASTALSOUTH BANCHARES, INC.
COASTALSOUTH BANCHARES, INC.
COBIZ FINANCIAL INC.
COBIZ FINANCIAL INC.
COBIZ FINANCIAL INC.
CODORUS VALLEY BANCORP, INC.
CODORUS VALLEY BANCORP, INC.
CODORUS VALLEY BANCORP, INC.
COLOEAST BANKSHARES, INC.
COLOEAST BANKSHARES, INC.
COLOEAST BANKSHARES, INC.
COLOEAST BANKSHARES, INC.
COLONIAL AMERICAN BANK
COLONIAL AMERICAN BANK
COLONY BANKCORP, INC.
COLONY BANKCORP, INC.
COLONY BANKCORP, INC.
COLONY BANKCORP, INC.
COLONY BANKCORP, INC.
COLUMBIA BANKING SYSTEM, INC.
COLUMBIA BANKING SYSTEM, INC.
COLUMBIA BANKING SYSTEM, INC.
COLUMBINE CAPITAL CORP.
COLUMBINE CAPITAL CORP.
COMERICA INC.
COMERICA INC.
COMERICA INC.
COMMERCE NATIONAL BANK
COMMERCE NATIONAL BANK
COMMERCE NATIONAL BANK
COMMONWEALTH BANCSHARES, INC.
COMMONWEALTH BANCSHARES, INC.
COMMONWEALTH BANCSHARES, INC.
COMMONWEALTH BANCSHARES, INC.
COMMONWEALTH BANCSHARES, INC.
COMMONWEALTH BANCSHARES, INC.
COMMONWEALTH BUSINESS BANK
COMMONWEALTH BUSINESS BANK
COMMONWEALTH BUSINESS BANK
COMMUNITY 1ST BANK
COMMUNITY 1ST BANK
COMMUNITY BANCSHARES OF KANSAS, INC.
COMMUNITY BANCSHARES OF KANSAS, INC.
COMMUNITY BANCSHARES OF MISSISSIPPI, INC./COMMUNITY BANK OF MISSISSIPPI
COMMUNITY BANCSHARES OF MISSISSIPPI, INC./COMMUNITY BANK OF MISSISSIPPI
COMMUNITY BANCSHARES, INC.
COMMUNITY BANCSHARES, INC.
COMMUNITY BANK OF THE BAY
COMMUNITY BANK OF THE BAY
COMMUNITY BANK SHARES OF INDIANA, INC.
COMMUNITY BANK SHARES OF INDIANA, INC.
COMMUNITY BANK SHARES OF INDIANA, INC.
COMMUNITY BANKERS TRUST CORPORATION
COMMUNITY BANKERS TRUST CORPORATION
COMMUNITY BANKERS TRUST CORPORATION
COMMUNITY BANKERS TRUST CORPORATION
COMMUNITY BANKERS TRUST CORPORATION
COMMUNITY BUSINESS BANK
COMMUNITY BUSINESS BANK
COMMUNITY BUSINESS BANK
COMMUNITY FINANCIAL CORPORATION / CITY HOLDING COMPANY
COMMUNITY FINANCIAL CORPORATION / CITY HOLDING COMPANY
COMMUNITY FINANCIAL CORPORATION / CITY HOLDING COMPANY
COMMUNITY FINANCIAL SHARES, INC.
COMMUNITY FINANCIAL SHARES, INC.
COMMUNITY FIRST BANCSHARES, INC. (AR)
COMMUNITY FIRST BANCSHARES, INC. (AR)
COMMUNITY FIRST BANCSHARES, INC. (AR)
COMMUNITY FIRST BANCSHARES, INC. (AR)
COMMUNITY FIRST BANCSHARES, INC. (TN)
City
SANTA FE
DANVILLE
DANVILLE
CHICAGO
CHICAGO
CHICAGO
CHICAGO
NEW YORK
NEW YORK
NEW YORK
NEW YORK
NEW YORK
WELLSBORO
WELLSBORO
WELLSBORO
NEVADA CITY
NEVADA CITY
CHILLICOTHE
CHILLICOTHE
CHILLICOTHE
CHILLICOTHE
ATLANTA
ATLANTA
COVINGTON
COVINGTON
COVINGTON
VERSAILLES
VERSAILLES
SOUTH HILL
SOUTH HILL
BOWLING GREEN
BOWLING GREEN
BOWLING GREEN
BOWLING GREEN
BOWLING GREEN
FLINT
FLINT
FLINT
GASTONIA
GASTONIA
GASTONIA
NEWARK
NEWARK
BEVERLY HILLS
BEVERLY HILLS
BEVERLY HILLS
BEVERLY HILLS
CLOVER
CLOVER
CLOVER
CLOVER
FERNANDINA BEACH
FERNANDINA BEACH
FERNANDINA BEACH
FERNANDINA BEACH
FERNANDINA BEACH
FERNANDINA BEACH
HILTON HEAD ISLAND
HILTON HEAD ISLAND
HILTON HEAD ISLAND
HILTON HEAD ISLAND
DENVER
DENVER
DENVER
YORK
YORK
YORK
LAMAR
LAMAR
LAMAR
LAMAR
WEST CONSHOHOCKEN
WEST CONSHOHOCKEN
FITZGERALD
FITZGERALD
FITZGERALD
FITZGERALD
FITZGERALD
TACOMA
TACOMA
TACOMA
BUENA VISTA
BUENA VISTA
DALLAS
DALLAS
DALLAS
NEWPORT BEACH
NEWPORT BEACH
NEWPORT BEACH
LOUISVILLE
LOUISVILLE
LOUISVILLE
LOUISVILLE
LOUISVILLE
LOUISVILLE
LOS ANGELES
LOS ANGELES
LOS ANGELES
ROSEVILLE
ROSEVILLE
GOFF
GOFF
BRANDON
BRANDON
KINGMAN
KINGMAN
OAKLAND
OAKLAND
NEW ALBANY
NEW ALBANY
NEW ALBANY
GLEN ALLEN
GLEN ALLEN
GLEN ALLEN
GLEN ALLEN
GLEN ALLEN
WEST SACRAMENTO
WEST SACRAMENTO
WEST SACRAMENTO
STAUNTON
STAUNTON
STAUNTON
GLEN ELLYN
GLEN ELLYN
HARRISON
HARRISON
HARRISON
HARRISON
UNION CITY
State
NM
AR
AR
IL
IL
IL
IL
NY
NY
NY
NY
NY
PA
PA
PA
CA
CA
MO
MO
MO
MO
GA
GA
LA
LA
LA
KY
KY
VA
VA
KY
KY
KY
KY
KY
MI
MI
MI
NC
NC
NC
NJ
NJ
CA
CA
CA
CA
SC
SC
SC
SC
FL
FL
FL
FL
FL
FL
SC
SC
SC
SC
CO
CO
CO
PA
PA
PA
CO
CO
CO
CO
PA
PA
GA
GA
GA
GA
GA
WA
WA
WA
CO
CO
TX
TX
TX
CA
CA
CA
KY
KY
KY
KY
KY
KY
CA
CA
CA
CA
CA
KS
KS
MS
MS
AZ
AZ
CA
CA
IN
IN
IN
VA
VA
VA
VA
VA
CA
CA
CA
VA
VA
VA
IL
IL
AR
AR
AR
AR
TN
Date
1/11/2013
5/29/2009
4/1/2015
7/31/2009
3/14/2014
3/17/2014
4/25/2014
12/31/2008
12/10/2009
10/28/2008
12/10/2010
1/31/2011
1/16/2009
8/4/2010
9/1/2010
12/23/2008
9/23/2011
5/29/2009
2/7/2013
2/8/2013
3/26/2013
3/6/2009
8/13/2010
3/20/2009
6/29/2015
8/6/2015
2/6/2009
2/28/2017
12/23/2008
7/28/2011
12/19/2008
2/16/2011
2/13/2013
1/15/2014
4/15/2015
12/12/2008
4/12/2013
5/13/2015
12/12/2008
9/22/2011
11/9/2011
4/10/2009
8/7/2015
11/21/2008
12/30/2009
3/3/2010
4/7/2010
3/27/2009
11/28/2012
11/29/2012
1/11/2013
12/5/2008
3/8/2013
3/11/2013
4/9/2013
4/10/2013
6/12/2013
8/28/2009
3/8/2013
3/11/2013
4/9/2013
12/19/2008
9/8/2011
11/23/2011
1/9/2009
8/18/2011
9/28/2011
2/13/2009
7/19/2013
7/22/2013
9/12/2013
3/27/2009
10/26/2011
1/9/2009
2/7/2013
2/8/2013
3/26/2013
6/12/2013
11/21/2008
8/11/2010
9/1/2010
2/27/2009
9/22/2011
11/14/2008
3/17/2010
5/12/2010
1/9/2009
10/7/2009
10/1/2013
5/22/2009
8/7/2012
8/8/2012
8/9/2012
8/10/2012
9/11/2012
1/23/2009
7/17/2013
9/12/2013
1/16/2009
12/19/2012
3/6/2009
7/18/2012
9/11/2009
9/29/2010
7/24/2009
2/11/2015
1/16/2009
9/29/2010
5/29/2009
9/15/2011
10/19/2011
12/19/2008
7/24/2013
11/20/2013
4/23/2014
6/4/2014
2/27/2009
11/30/2012
1/11/2013
12/19/2008
1/9/2013
5/28/2015
5/15/2009
12/21/2012
4/3/2009
2/7/2014
2/10/2014
3/19/2014
3/20/2009
1
Original Investment Type
Subordinated Debentures w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Original Investment Amount
Outstanding Investment
$19,817,000.00
$0.00
$7,000,000.00
$0.00
$0.00
2
Total Cash Back
Investment Status*
$32,098,302.62 Redeemed, in full; warrants not outstanding
$8,981,348.81 Sold, in full; warrants not outstanding
Preferred Stock w/ Warrants
$2,330,000,000.00
Preferred Stock w/ Warrants
$25,000,000,000.00
$0.00
$32,839,267,986.46 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
$26,440,000.00
$0.00
$28,889,100.00 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$10,400,000.00
$0.00
$24,990,000.00
$0.00
Preferred Stock
$7,462,000.00
$0.00
$7,997,813.22 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$2,400,000.00
$0.00
$2,353,330.60 Sold, in full; warrants not outstanding
$6,300,000.00
$0.00
Preferred Stock w/ Exercised Warrants
$3,000,000.00
$0.00
$3,574,645.84 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
$8,779,000.00
$0.00
$12,236,725.89 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
$300,000,000.00
$0.00
$381,395,557.08 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Warrants
$20,500,000.00
$0.00
$9,439,000.00
$0.00
$400,000,000.00
$0.00
$3,000,000.00
$0.00
$4,980,258.54 Sold, in full; warrants not outstanding
$23,572,379.22 Redeemed, in full; warrants not outstanding
$2,508,609.00 Sold, in full; warrants not outstanding
$442,416,666.67 Redeemed, in full; warrants not outstanding
$3,318,585.05 Sold, in full; warrants not outstanding
$9,950,000.00
$0.00
$11,166,897.79 Sold, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$16,015,000.00
$0.00
$14,257,487.71 Sold, in full; warrants not outstanding
Preferred Stock w/ Warrants
$64,450,000.00
$0.00
$73,357,086.72 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
$16,500,000.00
$0.00
$19,178,479.00 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$10,000,000.00
$0.00
$10,670,784.03 Sold, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$574,000.00
$0.00
Preferred Stock w/ Warrants
$28,000,000.00
$0.00
$26,480,089.20 Sold, in full; warrants not outstanding
Preferred Stock w/ Warrants
$76,898,000.00
$0.00
$86,821,419.22 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Subordinated Debentures w/ Exercised Warrants
$668,142.53 Redeemed, in full; warrants not outstanding
$2,260,000.00
$0.00
$2,689,478.64 Redeemed, in full; warrants not outstanding
$2,250,000,000.00
$0.00
$2,582,039,543.40 Redeemed, in full; warrants not outstanding
$5,000,000.00
$0.00
$20,400,000.00
$0.00
$5,602,969.61 Redeemed, in full; warrants not outstanding
$21,575,016.54 Sold, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$7,701,000.00
$0.00
$8,451,110.79 Sold, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$2,550,000.00
$0.00
$2,899,659.67 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$500,000.00
$0.00
$616,741.75 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$52,000,000.00
$0.00
$57,575,699.54 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$3,872,000.00
$0.00
$5,197,157.57 Redeemed, in full; warrants not outstanding
Preferred Stock
$1,747,000.00
$0.00
$1,823,188.61 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
$19,468,000.00
$0.00
$22,802,281.62 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
$17,680,000.00
$0.00
$23,135,879.12 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$3,976,000.00
$0.00
$12,643,000.00
$0.00
Preferred Stock w/ Exercised Warrants
$6,970,000.00
$0.00
$4,240,743.82 Sold, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$12,725,000.00
$0.00
$16,441,884.63 Sold, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$20,000,000.00
$0.00
$23,628,111.33 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
Shares
Avg. Price
$1.00
$257,660.00
$6,679,340.00
260
6,740
$991.00
$991.00
($69,370.00)
$4,674,050.16 Sold, in full; warrants not outstanding
$16,080,204.94 Redeemed, in full; warrants not outstanding
(Realized Loss) / (Write-off)
Gain
5
Wt Amount
Wt Shares
$991,000.00
991,000
$347,193.00
350
$54,621,848.84
210,084,034
$400,000.00
194,794
($6,332,625.00)
($5,850,000.00)
$258,018.75
$387,028.12
500
750
$53,015.60
120
$150,000.00
150
($2,340.00)
($60,660.00)
($2,330,000,000.00)
$25,000,000,000.00
7,692,307,692
$4.14
$26,440,000.00
26,440
$1,000.00
$6,657,375.00
$6,150,000.00
12,990
12,000
$512.50
$512.50
7,462
$1,000.00
2,400
$650.13
($839,688.00)
$4,800,000.04
10,909,091
$0.44
($1,499,999.96)
$3,000,000.00
3,000
$1,000.00
$2,212,308.00
$3,300,904.00
$3,265,788.00
63
94
93
$35,116.00
$35,116.00
$35,116.00
$300,000,000.00
300,000
$1,000.00
$20,500,000.00
20,500
$1,000.00
$2,226,750.00
9,439
$235.91
$200,000,000.00
$200,000,000.00
200,000
200,000
$1,000.00
$1,000.00
$955,825.50
$1,662,874.50
1,095
1,905
$872.90
$872.90
($139,174.50)
($242,125.50)
3,950
6,000
$955.10
$955.10
($177,355.00)
($269,400.00)
500
15,515
$795.10
$795.10
($102,450.00)
($3,179,023.50)
$223,571.11 Currently Not Collectible
$13,952,381.45 Sold, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Warrants
4
(Fee)
($98,500.00)
19,817,000
$43,687,500.00 Exited bankruptcy/Receivership
Preferred Stock w/ Exercised Warrants
Preferred Stock
Amount
$19,817,000.00
$6,852,354,470.95
($10,400,000.00)
($128,073.75)
$7,462,000.00
$1,560,312.00
$3,772,645.00
$5,730,600.00
$397,550.00
$12,335,976.50
($25,000.00)
($25,000.00)
($95,032.45)
($127,335.27)
$1,705,802.78
254,218
$12,150,120.44
2,571,998
$225,157.00
450,314
$18,500,000.00
1,128,668
$114,021.50
150
$99,000.00
$225,647.45
60,000
145,579
$389,857.05
$25,990.47
450
30
($7,212,250.00)
$64,450,000.00
64,450
$1,000.00
$16,500,000.00
16,500
$1,000.00
52
9,948
$903.75
$903.75
$574,000.00
574
$1,000.00
$21,633,944.71
$265,135.29
27,661
339
$782.11
$782.11
$76,898,000.00
76,898
$1,000.00
$2,260,000.00
2,260
$1,000.00
$2,250,000,000.00
2,250,000
$1,000.00
$5,000,000.00
5,000
$1,000.00
$566,858.50
87,209
$130,500.00
$1,469,250.00
$13,100,250.00
$600,000.00
174,000
1,959,000
17,467,000
800,000
$0.75
$0.75
$0.75
$0.75
($43,500.00)
($489,750.00)
($4,366,750.00)
($200,000.00)
$792,990.00
$105,732.00
900,000
120,000
($377,349.00)
$46,995.00
$8,990,505.00
$7,323,651.00
($90,375.00)
($218,990.80)
($153,000.00)
($5,005.00)
($957,495.00)
$143,677.00
895,968
$526,604.00
263,859
$494,381.25
50
$29,000.00
29
$810,000.00
500,000
$3,301,647.00
398,023
($6,027,055.29)
($73,864.71)
$113,000.00
113
$181,102,043.40
11,479,592
7,701
$951.00
$362,427.91
385
$2,550,000.00
2,550
$1,000.00
$128,000.00
128
$500,000.00
500
$1,000.00
$25,000.00
25
$52,000,000.00
52,000
$1,000.00
$2,600,000.00
2,600
$3,872,000.00
3,872
$1,000.00
$116,000.00
116
$1,747,000.00
1,747
$1,000.00
$19,468,000.00
19,468
$1,000.00
$1,100,869.50
386,270
$4,500,000.00
$2,500,000.00
$10,680,000.00
4,500
2,500
10,680
$1,000.00
$1,000.00
$1,000.00
3,976
$935.00
$12,643,000.00
12,643
$1,000.00
$3,136,500.00
6,970
$450.00
($3,833,500.00)
$157,050.00
349
$3,705,037.50
$8,867,389.75
3,750
8,975
$988.01
$988.01
($44,962.50)
($107,610.25)
$85,157.88
$544,614.34
86
550
$3,717,560.00
($73,236.51)
($25,000.00)
($125,724.27)
($258,440.00)
$780,000.00
780,000
$167,035.00
199
$873,485.00
61,796
17
Footnote
8
8,67
8,14
44
15,17
8,14,44
53,110
8,14
8,14
8,14
8
8
58
8,14
8
11,16
8,14,44
14,15,44
8,14
8,18
14,15
8,14
11
44
15
12,44
11,16
89
44
45
11
8,14,44
8,44,73
8,14
8,14,18
Institution Name
COMMUNITY FIRST BANCSHARES, INC. (TN)
COMMUNITY FIRST, INC.
COMMUNITY FIRST, INC.
COMMUNITY FIRST, INC.
COMMUNITY FIRST, INC.
COMMUNITY HOLDING COMPANY OF FLORIDA, INC. / COMMUNITY BANCSHARES OF MISSISSIPPI, INC.
COMMUNITY HOLDING COMPANY OF FLORIDA, INC. / COMMUNITY BANCSHARES OF MISSISSIPPI, INC.
COMMUNITY HOLDING COMPANY OF FLORIDA, INC. / COMMUNITY BANCSHARES OF MISSISSIPPI, INC.
COMMUNITY HOLDING COMPANY OF FLORIDA, INC. / COMMUNITY BANCSHARES OF MISSISSIPPI, INC.
COMMUNITY INVESTORS BANCORP, INC.
COMMUNITY INVESTORS BANCORP, INC.
COMMUNITY INVESTORS BANCORP, INC.
COMMUNITY INVESTORS BANCORP, INC.
COMMUNITY INVESTORS BANCORP, INC.
COMMUNITY PARTNERS BANCORP
COMMUNITY PARTNERS BANCORP
COMMUNITY PARTNERS BANCORP
COMMUNITY PRIDE BANK CORPORATION
COMMUNITY PRIDE BANK CORPORATION
COMMUNITY PRIDE BANK CORPORATION
COMMUNITY TRUST FINANCIAL CORPORATION
COMMUNITY TRUST FINANCIAL CORPORATION
COMMUNITY WEST BANCSHARES
COMMUNITY WEST BANCSHARES
COMMUNITY WEST BANCSHARES
COMMUNITY WEST BANCSHARES
COMMUNITY WEST BANCSHARES
COMMUNITYONE BANCORP / FNB UNITED CORP.
COMMUNITYONE BANCORP / FNB UNITED CORP.
COMMUNITYONE BANCORP / FNB UNITED CORP.
CONGAREE BANCSHARES, INC.
CONGAREE BANCSHARES, INC.
CONGAREE BANCSHARES, INC.
CONGAREE BANCSHARES, INC.
CORNING SAVINGS AND LOAN ASSOCIATION
CORNING SAVINGS AND LOAN ASSOCIATION
CORNING SAVINGS AND LOAN ASSOCIATION
CORNING SAVINGS AND LOAN ASSOCIATION
COUNTRY BANK SHARES, INC.
COUNTRY BANK SHARES, INC.
COUNTRY BANK SHARES, INC.
COUNTRY BANK SHARES, INC.
COVENANT FINANCIAL CORPORATION
COVENANT FINANCIAL CORPORATION
CRAZY WOMAN CREEK BANCORP INCORPORATED
CRAZY WOMAN CREEK BANCORP INCORPORATED
CRAZY WOMAN CREEK BANCORP INCORPORATED
CRESCENT FINANCIAL BANCSHARES, INC. (CRESCENT FINANCIAL CORPORATION) / VantageSouth Bancshares, Inc.
CRESCENT FINANCIAL BANCSHARES, INC. (CRESCENT FINANCIAL CORPORATION) / VantageSouth Bancshares, Inc.
CRESCENT FINANCIAL BANCSHARES, INC. (CRESCENT FINANCIAL CORPORATION) / VantageSouth Bancshares, Inc.
CROSSTOWN HOLDING COMPANY
CROSSTOWN HOLDING COMPANY
CROSSTOWN HOLDING COMPANY
CROSSTOWN HOLDING COMPANY
CSRA BANK CORP.
CSRA BANK CORP.
CSRA BANK CORP.
CVB FINANCIAL CORP.
CVB FINANCIAL CORP.
CVB FINANCIAL CORP.
CVB FINANCIAL CORP.
D.L. EVANS BANCORP
D.L. EVANS BANCORP
DEERFIELD FINANCIAL CORPORATION
DEERFIELD FINANCIAL CORPORATION
DELMAR BANCORP
DELMAR BANCORP
DELMAR BANCORP
DELMAR BANCORP
DESOTO COUNTY BANK
DESOTO COUNTY BANK
DESOTO COUNTY BANK
DESOTO COUNTY BANK
DESOTO COUNTY BANK
DIAMOND BANCORP, INC.
DIAMOND BANCORP, INC.
DIAMOND BANCORP, INC.
DIAMOND BANCORP, INC.
DIAMOND BANCORP, INC.
DICKINSON FINANCIAL CORPORATION II
DICKINSON FINANCIAL CORPORATION II
DICKINSON FINANCIAL CORPORATION II
DICKINSON FINANCIAL CORPORATION II
DISCOVER FINANCIAL SERVICES
DISCOVER FINANCIAL SERVICES
DISCOVER FINANCIAL SERVICES
DNB FINANCIAL CORPORATION
DNB FINANCIAL CORPORATION
DNB FINANCIAL CORPORATION
DUKE FINANCIAL GROUP, INC.
DUKE FINANCIAL GROUP, INC.
DUKE FINANCIAL GROUP, INC.
DUKE FINANCIAL GROUP, INC.
EAGLE BANCORP, INC.
EAGLE BANCORP, INC.
EAGLE BANCORP, INC.
EAGLE BANCORP, INC.
EAST WEST BANCORP, INC.
EAST WEST BANCORP, INC.
EAST WEST BANCORP, INC.
EASTERN VIRGINIA BANKSHARES, INC.
EASTERN VIRGINIA BANKSHARES, INC.
EASTERN VIRGINIA BANKSHARES, INC.
EASTERN VIRGINIA BANKSHARES, INC.
EASTERN VIRGINIA BANKSHARES, INC.
ECB BANCORP, INC. / CRESCENT FINANCIAL BANCSHARES, INC. / VantageSouth Bancshares, Inc.
ECB BANCORP, INC. / CRESCENT FINANCIAL BANCSHARES, INC. / VantageSouth Bancshares, Inc.
ECB BANCORP, INC. / CRESCENT FINANCIAL BANCSHARES, INC. / VantageSouth Bancshares, Inc.
EMCLAIRE FINANCIAL CORP.
EMCLAIRE FINANCIAL CORP.
EMCLAIRE FINANCIAL CORP.
ENCORE BANCSHARES INC.
ENCORE BANCSHARES INC.
ENCORE BANCSHARES INC.
ENTERPRISE FINANCIAL SERVICES CORP.
ENTERPRISE FINANCIAL SERVICES CORP.
ENTERPRISE FINANCIAL SERVICES CORP.
ENTERPRISE FINANCIAL SERVICES GROUP, INC.
ENTERPRISE FINANCIAL SERVICES GROUP, INC.
EQUITY BANCSHARES, INC.
EQUITY BANCSHARES, INC.
EXCHANGE BANK
EXCHANGE BANK
EXCHANGE BANK
EXCHANGE BANK
EXCHANGE BANK
EXCHANGE BANK
EXCHANGE BANK
F & M BANCSHARES, INC.
City
UNION CITY
COLUMBIA
COLUMBIA
COLUMBIA
COLUMBIA
BRANDON
BRANDON
BRANDON
BRANDON
BUCYRUS
BUCYRUS
BUCYRUS
BUCYRUS
BUCYRUS
MIDDLETOWN
MIDDLETOWN
MIDDLETOWN
HAM LAKE
HAM LAKE
HAM LAKE
RUSTON
RUSTON
GOLETA
GOLETA
GOLETA
GOLETA
GOLETA
ASHEBORO
ASHEBORO
ASHEBORO
CAYCE
CAYCE
CAYCE
CAYCE
CORNING
CORNING
CORNING
CORNING
MILFORD
MILFORD
MILFORD
MILFORD
CLARKSDALE
CLARKSDALE
BUFFALO
BUFFALO
BUFFALO
RALEIGH
RALEIGH
RALEIGH
BLAINE
BLAINE
BLAINE
BLAINE
WRENS
WRENS
WRENS
ONTARIO
ONTARIO
ONTARIO
ONTARIO
BURLEY
BURLEY
DEERFIELD
DEERFIELD
DELMAR
DELMAR
DELMAR
DELMAR
HORN LAKE
HORN LAKE
HORN LAKE
HORN LAKE
HORN LAKE
WASHINGTON
WASHINGTON
WASHINGTON
WASHINGTON
WASHINGTON
KANSAS CITY
KANSAS CITY
KANSAS CITY
KANSAS CITY
RIVERWOODS
RIVERWOODS
RIVERWOODS
DOWNINGTOWN
DOWNINGTOWN
DOWNINGTOWN
MINNEAPOLIS
MINNEAPOLIS
MINNEAPOLIS
MINNEAPOLIS
BETHESDA
BETHESDA
BETHESDA
BETHESDA
PASADENA
PASADENA
PASADENA
TAPPAHANNOCK
TAPPAHANNOCK
TAPPAHANNOCK
TAPPAHANNOCK
TAPPAHANNOCK
ENGELHARD
ENGELHARD
ENGELHARD
EMLENTON
EMLENTON
EMLENTON
HOUSTON
HOUSTON
HOUSTON
ST. LOUIS
ST. LOUIS
ST. LOUIS
ALLISON PARK
ALLISON PARK
WICHITA
WICHITA
SANTA ROSA
SANTA ROSA
SANTA ROSA
SANTA ROSA
SANTA ROSA
SANTA ROSA
SANTA ROSA
TREZEVANT
State
TN
TN
TN
TN
TN
MS
MS
MS
MS
OH
OH
OH
OH
OH
NJ
NJ
NJ
MN
MN
MN
LA
LA
CA
CA
CA
CA
CA
NC
NC
NC
SC
SC
SC
SC
AR
AR
AR
AR
NE
NE
NE
NE
MS
MS
WY
WY
WY
NC
NC
NC
MN
MN
MN
MN
GA
GA
GA
CA
CA
CA
CA
ID
ID
WI
WI
MD
MD
MD
MD
MS
MS
MS
MS
MS
MO
MO
MO
MO
MO
MO
MO
MO
MO
IL
IL
IL
PA
PA
PA
MN
MN
MN
MN
MD
MD
MD
MD
CA
CA
CA
VA
VA
VA
VA
VA
NC
NC
NC
PA
PA
PA
TX
TX
TX
MO
MO
MO
PA
PA
KS
KS
CA
CA
CA
CA
CA
CA
CA
TN
Date
8/18/2011
2/27/2009
4/11/2014
4/14/2014
7/18/2014
2/6/2009
11/30/2012
1/11/2013
3/26/2013
12/23/2008
12/19/2012
12/20/2012
1/11/2013
3/26/2013
1/30/2009
8/11/2011
10/26/2011
11/13/2009
8/12/2013
9/12/2013
1/9/2009
7/6/2011
12/19/2008
12/10/2012
12/11/2012
1/11/2013
6/12/2013
2/13/2009
5/23/2014
5/27/2015
1/9/2009
10/29/2012
10/31/2012
1/11/2013
2/13/2009
11/30/2012
1/11/2013
3/26/2013
1/30/2009
11/28/2012
11/29/2012
1/11/2013
6/5/2009
4/30/2014
2/20/2009
1/8/2014
11/19/2014
1/9/2009
2/19/2014
6/11/2014
1/23/2009
7/19/2013
7/22/2013
9/12/2013
3/27/2009
6/29/2015
8/6/2015
12/5/2008
8/26/2009
9/2/2009
10/28/2009
2/27/2009
9/27/2011
5/15/2009
9/8/2011
12/4/2009
2/7/2013
2/8/2013
3/26/2013
2/13/2009
12/29/2009
9/24/2013
9/25/2013
10/29/2013
5/22/2009
8/8/2012
8/9/2012
8/10/2012
9/11/2012
1/16/2009
2/7/2013
2/8/2013
3/26/2013
3/13/2009
4/21/2010
7/7/2010
1/30/2009
8/4/2011
9/21/2011
6/19/2009
11/27/2013
3/5/2014
4/2/2014
12/5/2008
12/23/2009
7/14/2011
11/23/2011
12/5/2008
12/29/2010
1/26/2011
1/9/2009
10/18/2013
10/21/2013
1/6/2014
5/13/2015
1/16/2009
2/19/2014
6/11/2014
12/23/2008
8/18/2011
12/7/2011
12/5/2008
9/27/2011
11/23/2011
12/19/2008
11/7/2012
1/9/2013
6/12/2009
8/25/2011
1/30/2009
8/11/2011
12/19/2008
8/3/2012
8/8/2012
8/9/2012
8/10/2012
8/13/2012
9/11/2012
1/30/2009
1
Original Investment Type
Original Investment Amount
Outstanding Investment
2
Total Cash Back
Investment Status*
Preferred Stock w/ Exercised Warrants
$17,806,000.00
$0.00
$7,665,362.89 Sold, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$1,050,000.00
$0.00
$1,220,300.65 Sold, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$2,600,000.00
$0.00
$3,115,616.28 Sold, in full; warrants not outstanding
Preferred Stock w/ Warrants
$9,000,000.00
$0.00
Subordinated Debentures w/ Exercised Warrants
$4,400,000.00
$0.00
$10,598,750.00 Redeemed, in full; warrants not outstanding
$5,462,045.14 Sold, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$24,000,000.00
$0.00
$28,459,100.00 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
$15,600,000.00
$0.00
$14,341,140.33 Sold, in full; warrants not outstanding
Preferred Stock w/ Warrants
$51,500,000.00
$0.00
$12,749,591.59 Sold, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$3,285,000.00
$0.00
$3,483,629.20 Sold, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$638,000.00
$0.00
$659,705.04 Sold, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$7,525,000.00
$0.00
$8,781,205.02 Sold, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$5,000,000.00
$0.00
$6,594,635.27 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$3,100,000.00
$0.00
$4,225,732.08 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
$24,900,000.00
$0.00
$33,014,741.20 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$10,650,000.00
$0.00
$13,498,324.83 Sold, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$2,400,000.00
$0.00
$3,210,755.60 Sold, in full; warrants not outstanding
$130,000,000.00
$0.00
$136,046,583.33 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
Preferred Stock w/ Exercised Warrants
$19,891,000.00
$0.00
$23,686,592.33 Redeemed, in full; warrants not outstanding
Subordinated Debentures w/ Exercised Warrants
$2,639,000.00
$0.00
$3,283,338.96 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$9,000,000.00
$0.00
$6,598,331.15 Sold, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$1,173,000.00
$1,508,000.00
$0.00
$2,781,331.97 Sold, in full; warrants not outstanding
$20,445,000.00
$0.00
$21,101,618.19 Sold, in full; warrants not outstanding
Subordinated Debentures w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
$0.00
Preferred Stock w/ Warrants
$1,224,558,000.00
$0.00
$1,464,248,844.00 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
$11,750,000.00
$0.00
$13,683,277.61 Redeemed, in full; warrants not outstanding
$12,000,000.00
$0.00
$87,459,858.69 Sold, in full; warrants not outstanding
$17,424,285.82 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
$38,235,000.00
$0.00
$44,847,153.76 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
$306,546,000.00
$0.00
$352,722,420.00 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
$24,000,000.00
$17,949,000.00
$7,500,000.00
$34,000,000.00
$0.00
$0.00
$0.00
$0.00
$28,568,653.60 Sold, in full; warrants not outstanding
$23,397,494.08 Redeemed, in full; warrants not outstanding
$8,545,904.67 Redeemed, in full; warrants not outstanding
$39,415,959.89 Redeemed, in full; warrants not outstanding
$35,000,000.00
$0.00
Preferred Stock w/ Exercised Warrants
$4,000,000.00
$0.00
$4,680,205.56 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$8,750,000.00
$0.00
$10,394,872.56 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$43,000,000.00
$0.00
$47,294,527.29 Sold, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$4,609,000.00
$1,322,500.50
$4,028,202.50
$1,002,750.00
$952,850.00
$1,517,150.00
$0.00
$42,801,933.33 Redeemed, in full; warrants not outstanding
$9,405,391.28 Sold, in full; warrants not outstanding
(Fee)
4
($53,507.03)
($10,027.50)
($14,972.50)
($24,700.00)
($300.00)
$9,000,000.00
(Realized Loss) / (Write-off)
Avg. Price
$1,000.00
Wt Amount
$1,000,000.00
Wt Shares
1,000
4,401
13,405
$300.50
$300.50
($3,078,499.50)
($9,376,797.50)
$72,314.55
$387,399.37
140
750
105
$9,550.00
($47,250.00)
$25,000.00
5
1,003
1,597
$950.00
$950.00
($50,150.00)
($79,850.00)
$105,000.00
130
9,000
$1,000.00
$1.11
$24,000,000.00
24,000
$1,000.00
$2,172,000.00
$9,122,400.00
3,000
12,600
$724.00
$724.00
($828,000.00)
($3,477,600.00)
$10,149,929.90
1,085,554
$9.35
($41,350,070.10)
$23,932.54
$2,687,046.56
29
3,256
$825.26
$825.26
638
$548,680.00
$713,208.30
$6,193,989.20
($48,849.24)
($112,944.00)
($25,000.00)
($5,486.80)
($19,513.20)
Gain
5
Shares
20,000
4,400,000
$4,400,000.00
$460,000.00
311,972
$177,716.96
132,000
$1,200,000.00
1,200
$698,351.00
521,158
$10,356.69
22,071
($5,067.46)
($568,953.44)
$106,364.00
164
$860.00
($89,320.00)
$3,960.00
32
($63,791.70)
($554,010.80)
$484,924.00
777
6,748
$917.90
$917.90
$372,240.00
376
$5,000,000.00
5,000
$1,000.00
$250,000.00
250
$1,000,000.00
$2,100,000.00
1,000
2,100
$1,000.00
$1,000.00
$155,000.00
155
$24,900,000.00
24,900
$1,000.00
$1,681,000.00
833,705
350
10,300
$982.27
$982.27
$531,210.67
533
2,400
$1,213.75
$141,815.60
120
$97,500,000.00
$32,500,000.00
97,500
32,500
$1,000.00
$1,000.00
$1,307,000.00
834,761
$19,891,000.00
19,891
$1,000.00
$2,639,000.00
2,639,000
$1.00
$5,293,527.28
$215,462.72
8,648
352
$612.11
$612.11
($3,354,472.72)
($136,537.28)
366
2,315
$823.58
$818.78
($64,571.42)
($419,532.41)
6,000,000
13,965,000
480,000
$0.73
$0.73
$0.73
14,523
131,530
$552.61
$552.61
$1,224,558,000.00
1,224,558
$1,000.00
$11,750,000.00
11,750
$1,000.00
$5,000,000.00
$2,000,000.00
$5,000,000.00
5,000,000
2,000,000
5,000,000
$1.00
$1.00
$1.00
$15,000,000.00
$23,235,000.00
15,000
23,235
$1,000.00
$1,000.00
$306,546,000.00
306,546
$1,000.00
3,900
20,100
$1,104.11
$1,104.11
$17,949,000.00
17,949
$1,000.00
$7,500,000.00
7,500
$1,000.00
$34,000,000.00
34,000
$1,000.00
$35,000,000.00
35,000
$1,000.00
$4,000,000.00
4,000
$1,000.00
$8,750,000.00
8,750
$1,000.00
$438,000.00
438
$481,387.50
$17,505,000.00
$8,725,367.25
$420,995.25
$10,503,000.00
550
20,000
9,969
481
12,000
$875.25
$875.25
$875.25
$875.25
$875.25
$1,910,898.00
$120,386.57
$22,930.78
2,000
126
24
$343,794.50
$10,117,381.00
$2,400,000.00
$301,428.58
$1,895,467.59
$146,053,000.00
Subordinated Debentures w/ Exercised Warrants
Amount
$20,000,000.00
$4,381,500.00
$10,197,941.25
$350,520.00
$8,025,555.03
$72,684,793.30
$3,900,000.00
$20,100,000.00
($69,071.98)
($104,611.76)
($25,000.00)
($55,089.90)
($33,333.34)
($149,299.61)
($807,103.48)
($264,986.40)
($376,357.50)
($6,205.50)
($182,619.00)
$513,000.00
$995,000.00
995
$132,000.00
132,000
$311,943.55
450
$40,563.34
59
($1,618,500.00)
($3,767,058.75)
($129,480.00)
$688,041.09
$91,535.40
902,000
120,000
($6,497,444.97)
($58,845,206.70)
$3,372.19
$4,922,044.87
5
7,298
$172,000,000.00
20,500,413
$458,000.00
186,311
$600,000.00
600,000
$2,794,422.00
385,434
$14,500,000.00
1,517,555
$115,000.00
384,041
$871,000.00
514,693
$406,029.00
$2,092,611.00
($68,612.50)
($2,495,000.00)
($1,243,632.75)
($60,004.75)
($1,497,000.00)
$51,113.00
50,111
$637,071.00
364,026
$1,006,100.00
324,074
$200,000.00
200
18
Footnote
8,14
14,15
8,14
11
8,120
8,14
8,11
14,15
8,14,45
15,17
8,14
8,14,45
8,14
11,15,44
77
8,17
8,14
11
11
8,14,45
15,17,44
8,14
8,14
11,14,15
9,11,36
45
34,118,121,140
8,11,14
8,14,45
8,14,45
8
45
8,14,18
Institution Name
F & M BANCSHARES, INC.
F & M BANCSHARES, INC.
F & M BANCSHARES, INC.
F & M BANCSHARES, INC.
F & M BANCSHARES, INC.
F & M FINANCIAL CORPORATION (NC)
F & M FINANCIAL CORPORATION (NC)
F & M FINANCIAL CORPORATION (NC)
F & M FINANCIAL CORPORATION (NC)
F & M FINANCIAL CORPORATION (NC)
F&C BANCORP. INC.
F&C BANCORP. INC.
F&C BANCORP. INC.
F&C BANCORP. INC.
F&M FINANCIAL CORPORATION (TN)
F&M FINANCIAL CORPORATION (TN)
F&M FINANCIAL CORPORATION (TN)
F&M FINANCIAL CORPORATION (TN)
F&M FINANCIAL CORPORATION (TN)
F.N.B. CORPORATION
F.N.B. CORPORATION
F.N.B. CORPORATION
FARMERS & MERCHANTS BANCSHARES, INC. / ALLEGIANCE BANCSHARES, INC.
FARMERS & MERCHANTS BANCSHARES, INC. / ALLEGIANCE BANCSHARES, INC.
FARMERS & MERCHANTS FINANCIAL CORPORATION
FARMERS & MERCHANTS FINANCIAL CORPORATION
FARMERS & MERCHANTS FINANCIAL CORPORATION
FARMERS BANK, WINDSOR, VIRGINIA
FARMERS BANK, WINDSOR, VIRGINIA
FARMERS BANK, WINDSOR, VIRGINIA
FARMERS CAPITAL BANK CORPORATION
FARMERS CAPITAL BANK CORPORATION
FARMERS CAPITAL BANK CORPORATION
FARMERS ENTERPRISES, INC.
FARMERS ENTERPRISES, INC.
FARMERS ENTERPRISES, INC.
FARMERS ENTERPRISES, INC.
FARMERS ENTERPRISES, INC.
FARMERS STATE BANKSHARES, INC.
FARMERS STATE BANKSHARES, INC.
FBHC HOLDING COMPANY
FBHC HOLDING COMPANY
FC HOLDINGS, INC.
FC HOLDINGS, INC.
FC HOLDINGS, INC.
FCB BANCORP, INC.
FCB BANCORP, INC.
FFW CORPORATION
FFW CORPORATION
FFW CORPORATION
FFW CORPORATION
FIDELITY BANCORP, INC. (LA)
FIDELITY BANCORP, INC. (LA)
FIDELITY BANCORP, INC. (PA) / WESBANCO, INC.
FIDELITY BANCORP, INC. (PA) / WESBANCO, INC.
FIDELITY BANCORP, INC. (PA) / WESBANCO, INC.
FIDELITY FEDERAL BANCORP
FIDELITY FEDERAL BANCORP
FIDELITY FEDERAL BANCORP
FIDELITY FEDERAL BANCORP
FIDELITY FINANCIAL CORPORATION
FIDELITY FINANCIAL CORPORATION
FIDELITY FINANCIAL CORPORATION
FIDELITY FINANCIAL CORPORATION
FIDELITY FINANCIAL CORPORATION
FIDELITY FINANCIAL CORPORATION
FIDELITY FINANCIAL CORPORATION
FIDELITY FINANCIAL CORPORATION
FIDELITY FINANCIAL CORPORATION
FIDELITY SOUTHERN CORPORATION
FIDELITY SOUTHERN CORPORATION
FIDELITY SOUTHERN CORPORATION
FIFTH THIRD BANCORP
FIFTH THIRD BANCORP
FIFTH THIRD BANCORP
FINANCIAL INSTITUTIONS, INC.
FINANCIAL INSTITUTIONS, INC.
FINANCIAL INSTITUTIONS, INC.
FINANCIAL INSTITUTIONS, INC.
FINANCIAL SECURITY CORPORATION
FINANCIAL SECURITY CORPORATION
FINANCIAL SERVICES OF WINGER, INC.
FINANCIAL SERVICES OF WINGER, INC.
FIRST ADVANTAGE BANCSHARES, INC.
FIRST ADVANTAGE BANCSHARES, INC.
FIRST ADVANTAGE BANCSHARES, INC.
FIRST ADVANTAGE BANCSHARES, INC.
FIRST ADVANTAGE BANCSHARES, INC.
FIRST ALLIANCE BANCSHARES, INC.
FIRST ALLIANCE BANCSHARES, INC.
FIRST ALLIANCE BANCSHARES, INC.
FIRST ALLIANCE BANCSHARES, INC.
FIRST AMERICAN BANK CORPORATION
FIRST AMERICAN BANK CORPORATION
FIRST AMERICAN BANK CORPORATION
FIRST AMERICAN INTERNATIONAL CORP.
FIRST AMERICAN INTERNATIONAL CORP.
FIRST BANCORP (NC)
FIRST BANCORP (NC)
FIRST BANCORP (NC)
FIRST BANCORP (PR)
FIRST BANCORP (PR)
FIRST BANCORP (PR)
FIRST BANCORP (PR)
FIRST BANCORP (PR)
FIRST BANCORP (PR)
FIRST BANCTRUST CORPORATION
FIRST BANCTRUST CORPORATION
FIRST BANCTRUST CORPORATION
FIRST BANK OF CHARLESTON, INC.
FIRST BANK OF CHARLESTON, INC.
FIRST BANKERS TRUSTSHARES, INC.
FIRST BANKERS TRUSTSHARES, INC.
FIRST BANKS, INC.
FIRST BANKS, INC.
FIRST BANKS, INC.
FIRST BANKS, INC.
FIRST BANKS, INC.
FIRST BANKS, INC.
FIRST BANKS, INC.
FIRST BANKS, INC.
FIRST BUSEY CORPORATION
FIRST BUSEY CORPORATION
FIRST BUSEY CORPORATION
FIRST BUSINESS BANK, NATIONAL ASSOCIATION / BANK OF SOUTHERN CALIFORNIA, N.A.
FIRST BUSINESS BANK, NATIONAL ASSOCIATION / BANK OF SOUTHERN CALIFORNIA, N.A.
FIRST BUSINESS BANK, NATIONAL ASSOCIATION / BANK OF SOUTHERN CALIFORNIA, N.A.
FIRST BUSINESS BANK, NATIONAL ASSOCIATION / BANK OF SOUTHERN CALIFORNIA, N.A.
FIRST BUSINESS BANK, NATIONAL ASSOCIATION / BANK OF SOUTHERN CALIFORNIA, N.A.
City
TREZEVANT
TREZEVANT
TREZEVANT
TREZEVANT
TREZEVANT
SALISBURY
SALISBURY
SALISBURY
SALISBURY
SALISBURY
HOLDEN
HOLDEN
HOLDEN
HOLDEN
CLARKSVILLE
CLARKSVILLE
CLARKSVILLE
CLARKSVILLE
CLARKSVILLE
HERMITAGE
HERMITAGE
HERMITAGE
HOUSTON
HOUSTON
ARGONIA
ARGONIA
ARGONIA
WINDSOR
WINDSOR
WINDSOR
FRANKFORT
FRANKFORT
FRANKFORT
GREAT BEND
GREAT BEND
GREAT BEND
GREAT BEND
GREAT BEND
HOLTON
HOLTON
BOULDER
BOULDER
HOUSTON
HOUSTON
HOUSTON
LOUISVILLE
LOUISVILLE
WABASH
WABASH
WABASH
WABASH
BATON ROUGE
BATON ROUGE
PITTSBURGH
PITTSBURGH
PITTSBURGH
EVANSVILLE
EVANSVILLE
EVANSVILLE
EVANSVILLE
WICHITA
WICHITA
WICHITA
WICHITA
WICHITA
WICHITA
WICHITA
WICHITA
WICHITA
ATLANTA
ATLANTA
ATLANTA
CINCINNATI
CINCINNATI
CINCINNATI
WARSAW
WARSAW
WARSAW
WARSAW
BASIN
BASIN
WINGER
WINGER
COON RAPIDS
COON RAPIDS
COON RAPIDS
COON RAPIDS
COON RAPIDS
CORDOVA
CORDOVA
CORDOVA
CORDOVA
ELK GROVE VILLAGE
ELK GROVE VILLAGE
ELK GROVE VILLAGE
BROOKLYN
BROOKLYN
TROY
TROY
TROY
SAN JUAN
SAN JUAN
SAN JUAN
SAN JUAN
SAN JUAN
SAN JUAN
PARIS
PARIS
PARIS
CHARLESTON
CHARLESTON
QUINCY
QUINCY
CLAYTON
CLAYTON
CLAYTON
CLAYTON
CLAYTON
CLAYTON
CLAYTON
CLAYTON
URBANA
URBANA
URBANA
SAN DIEGO
SAN DIEGO
SAN DIEGO
SAN DIEGO
SAN DIEGO
State
TN
TN
TN
TN
TN
NC
NC
NC
NC
NC
MO
MO
MO
MO
TN
TN
TN
TN
TN
PA
PA
PA
TX
TX
KS
KS
KS
VA
VA
VA
KY
KY
KY
KS
KS
KS
KS
KS
KS
KS
CO
CO
TX
TX
TX
KY
KY
IN
IN
IN
IN
LA
LA
PA
PA
PA
IN
IN
IN
IN
KS
KS
KS
KS
KS
KS
KS
KS
KS
GA
GA
GA
OH
OH
OH
NY
NY
NY
NY
WY
WY
MN
MN
MN
MN
MN
MN
MN
TN
TN
TN
TN
IL
IL
IL
NY
NY
NC
NC
NC
PR
PR
PR
PR
PR
PR
IL
IL
IL
WV
WV
IL
IL
MO
MO
MO
MO
MO
MO
MO
MO
IL
IL
IL
CA
CA
CA
CA
CA
Date
11/6/2009
2/6/2013
2/7/2013
2/8/2013
3/26/2013
2/6/2009
9/18/2012
9/19/2012
9/20/2012
11/16/2012
5/22/2009
11/8/2012
11/13/2012
1/11/2013
2/13/2009
9/19/2012
9/20/2012
9/21/2012
11/16/2012
1/9/2009
9/9/2009
11/23/2011
3/6/2009
7/15/2015
3/20/2009
6/24/2013
7/26/2013
1/23/2009
1/9/2013
12/31/2013
1/9/2009
6/19/2012
7/18/2012
6/19/2009
11/8/2012
11/9/2012
11/13/2012
1/11/2013
3/20/2009
7/21/2011
12/29/2009
3/9/2011
6/26/2009
2/20/2013
3/26/2013
12/19/2008
9/22/2011
12/19/2008
11/28/2012
11/30/2012
1/11/2013
5/29/2009
3/27/2013
12/12/2008
11/30/2012
5/6/2015
11/13/2009
7/19/2013
7/22/2013
9/12/2013
12/19/2008
8/1/2012
8/2/2012
8/3/2012
8/7/2012
8/8/2012
8/9/2012
8/10/2012
9/11/2012
12/19/2008
7/3/2012
5/28/2015
12/31/2008
2/2/2011
3/16/2011
12/23/2008
2/23/2011
3/30/2011
5/11/2011
2/13/2009
7/21/2011
7/31/2009
9/1/2011
5/22/2009
12/10/2012
12/11/2012
1/11/2013
3/26/2013
6/26/2009
12/20/2012
1/11/2013
3/26/2013
7/24/2009
12/21/2011
12/11/2012
3/13/2009
8/13/2010
1/9/2009
9/1/2011
11/23/2011
1/16/2009
8/16/2013
9/13/2013
12/5/2014
3/6/2015
5/15/2017
2/20/2009
1/18/2012
10/24/2012
2/6/2009
7/21/2011
1/16/2009
9/8/2011
12/31/2008
8/8/2013
8/9/2013
8/12/2013
9/12/2013
9/24/2013
9/25/2013
10/29/2013
3/6/2009
8/25/2011
11/23/2011
4/10/2009
12/11/2009
12/19/2012
12/20/2012
1/11/2013
1
Original Investment Type
Preferred Stock w/ Exercised Warrants
Original Investment Amount
$3,535,000.00
$17,000,000.00
Outstanding Investment
2
Total Cash Back
Investment Status*
Amount
$4,797,325.00
$2,734,192.50
$144,202.50
$0.00
$20,119,744.45 Sold, in full; warrants not outstanding
$2,664,750.00
$13,485,250.00
Subordinated Debentures w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
$2,993,000.00
$0.00
$3,842,376.65 Sold, in full; warrants not outstanding
$17,243,000.00
$0.00
$17,573,762.97 Sold, in full; warrants not outstanding
$1,590,599.43
$1,278,999.18
$157,500.00
$13,421,362.50
Preferred Stock w/ Warrants
$100,000,000.00
$0.00
$104,023,433.33 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$11,000,000.00
$0.00
$15,971,339.07 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$442,000.00
$0.00
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Warrants
Subordinated Debentures w/ Exercised Warrants
$500,199.14 Sold, in full; warrants not outstanding
$8,752,000.00
$0.00
$11,396,202.11 Redeemed, in full; warrants not outstanding
$30,000,000.00
$0.00
$27,105,349.50 Sold, in full; warrants not outstanding
$12,000,000.00
$0.00
$15,452,669.34 Sold, in full; warrants not outstanding
Subordinated Debentures w/ Exercised Warrants
$700,000.00
$0.00
$830,173.67 Redeemed, in full; warrants not outstanding
$3,035,000.00
$0.00
$804,592.16 Sold, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$21,042,000.00
$0.00
$19,836,630.66 Sold, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$9,294,000.00
$0.00
$11,156,234.25 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$7,289,000.00
$0.00
$8,441,836.26 Sold, in full; warrants not outstanding
Subordinated Debentures w/ Exercised Warrants
$3,942,000.00
$0.00
$5,404,924.35 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
$7,000,000.00
$0.00
$10,634,864.33 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
$6,657,000.00
$36,282,000.00
$0.00
$0.00
Preferred Stock w/ Warrants
$48,200,000.00
$0.00
Preferred Stock w/ Warrants
$3,408,000,000.00
$0.00
Preferred Stock w/ Warrants
$7,220,908.83 Sold, in full; warrants not outstanding
$40,966,780.82 Sold, in full; warrants not outstanding
$82,715,982.47 Sold, in full; warrants not outstanding
$4,043,972,602.67 Redeemed, in full; warrants not outstanding
$37,515,000.00
$0.00
$43,787,611.61 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$5,000,000.00
$0.00
$5,914,597.33 Redeemed, in full; warrants not outstanding
Subordinated Debentures w/ Exercised Warrants
$3,742,000.00
$0.00
$4,487,322.46 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$1,177,000.00
$0.00
$1,289,436.37 Sold, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$3,422,000.00
$0.00
Subordinated Debentures w/ Exercised Warrants
$50,000,000.00
$0.00
$65,558,530.56 Redeemed, in full; warrants not outstanding
$3,003,674.75 Sold, in full; warrants not outstanding
Preferred Stock
$17,000,000.00
$0.00
$18,204,166.78 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
$65,000,000.00
$0.00
$74,518,906.44 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
$400,000,000.00
$0.00
Preferred Stock w/ Exercised Warrants
$7,350,000.00
$0.00
$9,050,516.50 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$3,345,000.00
$0.00
$3,960,105.00 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$10,000,000.00
$0.00
$11,941,222.22 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$295,400,000.00
$0.00
$231,861,384.57 Sold, in full; warrants outstanding
$119,071,500.97 Sold, in full; warrants not outstanding
$100,000,000.00
$0.00
Preferred Stock w/ Warrants
$2,211,000.00
$2,032,000.00
$0.00
$112,410,898.89 Redeemed, in full; warrants not outstanding
($76,757.21)
($161,500.00)
($25,000.00)
($135,788.63)
Shares
Avg. Price
($140,250.00)
($709,750.00)
$136,813.05
150
$638,460.90
700
1,659,000
1,334,000
$0.96
$0.96
($68,400.57)
($55,000.82)
$125,000.00
150,000
200
17,043
$787.50
$787.50
($42,500.00)
($3,621,637.50)
442
$962.50
3,063
5,689
$1,000.00
$1,000.00
30,000
$739.89
($332,950.50)
$96,290.00
Wt Shares
$950.00
$950.00
$1,000.00
$22,196,700.00
Wt Amount
2,805
14,195
$1,000.00
$3,063,000.00
$5,689,000.00
5
($292,675.00)
($166,807.50)
($8,797.50)
11,000
($25,000.00)
Gain
$942.50
$942.50
$942.50
100,000
$425,425.00
(Realized Loss) / (Write-off)
5,090
2,901
153
$11,000,000.00
$222,007.50
($16,575.00)
$96,465.60
112
$645,975.00
750
$690,100.00
651,042
$550,000.00
550
($2,835.00)
($7,803,300.00)
230
22
$438,000.00
438
$75,000.00
223,992
$37,387.14
$552,936.00
38,000
562,000
100,000
$0.96
($3,710.00)
11,900,000
$0.96
($441,490.00)
$700,000.00
700
$1,000.00
$40,000.00
4
$650,000.00
3,035,000
$0.21
($2,385,000.00)
$18,874,674.00
21,042
$897.00
($2,167,326.00)
$994,613.40
1,052
$9,294,000.00
9,294
$1,000.00
$465,000.00
465
$879,424.60
$5,701,813.50
974
6,315
$902.90
$902.90
($94,575.40)
($613,186.50)
$358,558.20
364
($115,548.00)
($188,746.74)
($65,812.38)
$3,942,000.00
3,942,000
$1.00
$7,000,000.00
7,000
$1,000.00
$439,000.00
$6,218,000.00
439
6,218
$1,058.90
$1,058.90
135
30
335
3,591
2,635
29,236
320
$891.26
$891.26
$891.26
$891.26
$891.26
$891.26
$891.26
($14,679.90)
($3,262.20)
($36,427.90)
($390,485.34)
($286,529.90)
($3,179,122.64)
($34,796.80)
($4,791,080.00)
$120,320.10
$26,737.80
$298,572.10
$3,200,514.66
$2,348,470.10
$26,056,877.36
$285,203.20
$43,408,920.00
($70,490.97)
($323,366.95)
197,000
101,321
$242,302.50
200
$170,227.93
$167,374.94
$1,210,615.36
$176,884.89
179
176
1,273
186
48,200
$900.60
136,320
$25,000.00
$12,505,000.00
$25,010,000.00
2,501
5,002
$5,000.00
$5,000.00
$5,000,000.00
5,000
$1,000.00
$250,000.00
250
$3,742,000.00
3,742,000
$1.00
$112,000.00
112,000
769
408
$898.21
$898.21
($78,276.51)
($41,530.32)
$2,979.49
$26,318.80
6
53
($1,026,257.80)
$94,701.71
171
$2,500,000.00
2,500,000
$924,462.00
616,308
$690,723.49
$366,469.68
$2,395,742.20
($651,133.80)
$25,857.10
$366,240.20
$197,000.00
$2,246,531.00
$3,408,000,000.00
($10,571.93)
($14,428.07)
$31,429,313.38
2,693,747
$280,025,936.00
43,617,747
$2,079,962.50
378,175
3,422
$700.10
$15,000,000.00
$35,000,000.00
15,000,000
35,000,000
$1.00
$1.00
$17,000,000.00
17,000
$1,000.00
$65,000,000.00
65,000
$1,000.00
$81,000,000.00
$8,514,153.00
$22,063,492.11
$29,708,351.90
$57,735,612.33
12,000,000
1,261,356
4,388,888
5,000,000
10,291,553
$6.75
$6.75
$5.03
$5.94
$5.61
$3,675,000.00
$3,675,000.00
3,675
3,675
$1,000.00
$1,000.00
$368,000.00
368
$3,345,000.00
3,345
$1,000.00
$167,000.00
167
$10,000,000.00
10,000
$1,000.00
$500,000.00
500
$105,000.00
$12,171,950.00
$87,028,900.00
300
34,777
248,654
$350.00
$350.00
$350.00
($195,000.00)
($22,605,050.00)
($161,625,100.00)
$2,430,181.71
$5,919,151.59
4,299
10,471
5,819
5,850
$551.59
$551.59
($2,609,297.79)
($2,623,198.50)
$100,000,000.00
100,000
$1,000.00
$63,677.00
573,833
$1,373,084.00
$2,510,399.84
1,500
2,743
$915.39
$915.20
$90,461.65
111
$3,209,702.21
$3,226,801.50
Preferred Stock w/ Warrants
4
$100,000,000.00
$11,458,510.00
Preferred Stock w/ Exercised Warrants
(Fee)
($23,957.42)
($1,042.58)
($74,611.09)
($85,000.00)
($993,058.50)
($64,365.04)
($64,711,540.92)
($6,802,024.20)
($31,229,144.01)
($31,004,790.15)
($67,230,891.51)
$4,693,275.61 Sold, in full; warrants not outstanding
($33,333.33)
($126,916.00)
($232,600.16)
19
Footnote
45
8,11,14,18,36
8,14,44
12
8,72
8
11,15,36
8,11,14
12,16
15,17,44
9,17
8,14
8,14,44
11
8,9
8
11
11,36
8,11,14
11,25
8,14,44
33,44,45
11
8,14
8,14,44
12,16
44
11
73,97
8,14,18
8,14
8,14,18,44,45
87
79
11,14,15
8,11,14
8,14
Institution Name
FIRST CALIFORNIA FINANCIAL GROUP, INC.
FIRST CALIFORNIA FINANCIAL GROUP, INC.
FIRST CALIFORNIA FINANCIAL GROUP, INC.
FIRST CAPITAL BANCORP, INC.
FIRST CAPITAL BANCORP, INC.
FIRST CAPITAL BANCORP, INC.
FIRST CHOICE BANK
FIRST CHOICE BANK
FIRST CHOICE BANK
FIRST CITIZENS BANC CORP
FIRST CITIZENS BANC CORP
FIRST CITIZENS BANC CORP
FIRST COLEBROOK BANCORP, INC.
FIRST COLEBROOK BANCORP, INC.
FIRST COMMUNITY BANCSHARES INC.
FIRST COMMUNITY BANCSHARES INC.
FIRST COMMUNITY BANCSHARES INC.
FIRST COMMUNITY BANCSHARES, INC. / EQUITY BANCSHARES, INC.
FIRST COMMUNITY BANCSHARES, INC. / EQUITY BANCSHARES, INC.
FIRST COMMUNITY BANK CORPORATION OF AMERICA
FIRST COMMUNITY BANK CORPORATION OF AMERICA
FIRST COMMUNITY CORPORATION
FIRST COMMUNITY CORPORATION
FIRST COMMUNITY CORPORATION
FIRST COMMUNITY FINANCIAL PARTNERS, INC.
FIRST COMMUNITY FINANCIAL PARTNERS, INC.
FIRST COMMUNITY FINANCIAL PARTNERS, INC.
FIRST COMMUNITY FINANCIAL PARTNERS, INC.
FIRST COMMUNITY FINANCIAL PARTNERS, INC.
FIRST COMMUNITY FINANCIAL PARTNERS, INC.
FIRST COMMUNITY FINANCIAL PARTNERS, INC.
FIRST COMMUNITY FINANCIAL PARTNERS, INC.
FIRST DEFIANCE FINANCIAL CORP.
FIRST DEFIANCE FINANCIAL CORP.
FIRST DEFIANCE FINANCIAL CORP.
FIRST EAGLE BANCSHARES, INC.
FIRST EAGLE BANCSHARES, INC.
FIRST EXPRESS OF NEBRASKA, INC.
FIRST EXPRESS OF NEBRASKA, INC.
FIRST FEDERAL BANCSHARES OF ARKANSAS, INC.
FIRST FEDERAL BANCSHARES OF ARKANSAS, INC.
FIRST FINANCIAL BANCORP
FIRST FINANCIAL BANCORP
FIRST FINANCIAL BANCORP
FIRST FINANCIAL BANCSHARES, INC.
FIRST FINANCIAL BANCSHARES, INC.
FIRST FINANCIAL HOLDINGS INC.
FIRST FINANCIAL HOLDINGS INC.
FIRST FINANCIAL HOLDINGS INC.
FIRST FINANCIAL SERVICE CORPORATION / YOUR COMMUNITY BANKSHARES, INC.
FIRST FINANCIAL SERVICE CORPORATION / YOUR COMMUNITY BANKSHARES, INC.
FIRST FINANCIAL SERVICE CORPORATION / YOUR COMMUNITY BANKSHARES, INC.
FIRST FINANCIAL SERVICE CORPORATION / YOUR COMMUNITY BANKSHARES, INC.
FIRST FREEDOM BANCSHARES, INC.
FIRST FREEDOM BANCSHARES, INC.
FIRST FREEDOM BANCSHARES, INC.
FIRST GOTHENBURG BANCSHARES, INC.
FIRST GOTHENBURG BANCSHARES, INC.
FIRST GOTHENBURG BANCSHARES, INC.
FIRST GOTHENBURG BANCSHARES, INC.
FIRST GUARANTY BANCSHARES, INC.
FIRST GUARANTY BANCSHARES, INC.
FIRST HORIZON NATIONAL CORPORATION
FIRST HORIZON NATIONAL CORPORATION
FIRST HORIZON NATIONAL CORPORATION
FIRST INDEPENDENCE CORPORATION
FIRST INDEPENDENCE CORPORATION
FIRST INDEPENDENCE CORPORATION
FIRST INDEPENDENCE CORPORATION
FIRST INTERCONTINENTAL BANK
FIRST INTERCONTINENTAL BANK
FIRST INTERCONTINENTAL BANK
FIRST LITCHFIELD FINANCIAL CORPORATION
FIRST LITCHFIELD FINANCIAL CORPORATION
FIRST M&F CORPORATION
FIRST M&F CORPORATION
FIRST M&F CORPORATION
FIRST MANITOWOC BANCORP, INC.
FIRST MANITOWOC BANCORP, INC.
FIRST MARKET BANK, FSB / UNION FIRST MARKET BANKSHARES CORPORATION
FIRST MARKET BANK, FSB / UNION FIRST MARKET BANKSHARES CORPORATION
FIRST MENASHA BANCSHARES, INC.
FIRST MENASHA BANCSHARES, INC.
FIRST MERCHANTS CORPORATION
FIRST MERCHANTS CORPORATION
FIRST MERCHANTS CORPORATION
FIRST MIDWEST BANCORP, INC.
FIRST MIDWEST BANCORP, INC.
FIRST MIDWEST BANCORP, INC.
FIRST NATIONAL CORPORATION
FIRST NATIONAL CORPORATION
FIRST NBC BANK HOLDING COMPANY
FIRST NBC BANK HOLDING COMPANY
FIRST NIAGARA FINANCIAL GROUP
FIRST NIAGARA FINANCIAL GROUP
FIRST NIAGARA FINANCIAL GROUP
FIRST NORTHERN COMMUNITY BANCORP
FIRST NORTHERN COMMUNITY BANCORP
FIRST NORTHERN COMMUNITY BANCORP
FIRST PACTRUST BANCORP, INC.
FIRST PACTRUST BANCORP, INC.
FIRST PACTRUST BANCORP, INC.
FIRST PLACE FINANCIAL CORP.
FIRST PLACE FINANCIAL CORP.
FIRST PRIORITY FINANCIAL CORP.
FIRST PRIORITY FINANCIAL CORP.
FIRST PRIORITY FINANCIAL CORP.
FIRST PRIORITY FINANCIAL CORP.
FIRST PRIORITY FINANCIAL CORP.
FIRST RELIANCE BANCSHARES, INC.
FIRST RELIANCE BANCSHARES, INC.
FIRST RELIANCE BANCSHARES, INC.
FIRST RESOURCE BANK
FIRST RESOURCE BANK
FIRST RESOURCE BANK
FIRST SECURITY GROUP, INC.
FIRST SECURITY GROUP, INC.
FIRST SOUND BANK
FIRST SOUND BANK
FIRST SOUTH BANCORP, INC.
FIRST SOUTH BANCORP, INC.
FIRST SOUTH BANCORP, INC.
FIRST SOUTHERN BANCORP, INC.
FIRST SOUTHERN BANCORP, INC.
FIRST SOUTHWEST BANCORPORATION, INC.
FIRST SOUTHWEST BANCORPORATION, INC.
FIRST SOUTHWEST BANCORPORATION, INC.
FIRST SOUTHWEST BANCORPORATION, INC.
FIRST SOUTHWEST BANCORPORATION, INC.
City
WESTLAKE VILLAGE
WESTLAKE VILLAGE
WESTLAKE VILLAGE
GLEN ALLEN
GLEN ALLEN
GLEN ALLEN
CERRITOS
CERRITOS
CERRITOS
SANDUSKY
SANDUSKY
SANDUSKY
COLEBROOK
COLEBROOK
BLUEFIELD
BLUEFIELD
BLUEFIELD
WICHITA
WICHITA
PINELLAS PARK
PINELLAS PARK
LEXINGTON
LEXINGTON
LEXINGTON
JOLIET
JOLIET
JOLIET
JOLIET
JOLIET
JOLIET
JOLIET
JOLIET
DEFIANCE
DEFIANCE
DEFIANCE
HANOVER PARK
HANOVER PARK
GERING
GERING
HARRISON
HARRISON
CINCINNATI
CINCINNATI
CINCINNATI
LAWRENCE
LAWRENCE
CHARLESTON
CHARLESTON
CHARLESTON
ELIZABETHTOWN
ELIZABETHTOWN
ELIZABETHTOWN
ELIZABETHTOWN
LEBANON
LEBANON
LEBANON
GOTHENBURG
GOTHENBURG
GOTHENBURG
GOTHENBURG
HAMMOND
HAMMOND
MEMPHIS
MEMPHIS
MEMPHIS
DETROIT
DETROIT
DETROIT
DETROIT
DORAVILLE
DORAVILLE
DORAVILLE
LITCHFIELD
LITCHFIELD
KOSCIUSKO
KOSCIUSKO
KOSCIUSKO
MANITOWOC
MANITOWOC
RICHMOND
RICHMOND
NEENAH
NEENAH
MUNCIE
MUNCIE
MUNCIE
ITASCA
ITASCA
ITASCA
STRASBURG
STRASBURG
NEW ORLEANS
NEW ORLEANS
LOCKPORT
LOCKPORT
LOCKPORT
DIXON
DIXON
DIXON
CHULA VISTA
CHULA VISTA
CHULA VISTA
WARREN
WARREN
MALVERN
MALVERN
MALVERN
MALVERN
MALVERN
FLORENCE
FLORENCE
FLORENCE
EXTON
EXTON
EXTON
CHATTANOOGA
CHATTANOOGA
SEATTLE
SEATTLE
LEXINGTON
LEXINGTON
LEXINGTON
BOCA RATON
BOCA RATON
ALAMOSA
ALAMOSA
ALAMOSA
ALAMOSA
ALAMOSA
State
CA
CA
CA
VA
VA
VA
CA
CA
CA
OH
OH
OH
NH
NH
VA
VA
VA
KS
KS
FL
FL
SC
SC
SC
IL
IL
IL
IL
IL
IL
IL
IL
OH
OH
OH
IL
IL
NE
NE
AR
AR
OH
OH
OH
KS
KS
SC
SC
SC
KY
KY
KY
KY
TN
TN
TN
NE
NE
NE
NE
LA
LA
TN
TN
TN
MI
MI
MI
MI
GA
GA
GA
CT
CT
MS
MS
MS
WI
WI
VA
VA
WI
WI
IN
IN
IN
IL
IL
IL
VA
VA
LA
LA
NY
NY
NY
CA
CA
CA
CA
CA
CA
OH
OH
PA
PA
PA
PA
PA
SC
SC
SC
PA
PA
PA
TN
TN
WA
WA
TN
TN
TN
FL
FL
CO
CO
CO
CO
CO
Date
12/19/2008
7/14/2011
8/24/2011
4/3/2009
6/19/2012
2/6/2013
2/13/2009
12/22/2009
9/24/2010
1/23/2009
7/3/2012
9/5/2012
3/20/2009
9/22/2011
11/21/2008
7/8/2009
11/22/2011
5/15/2009
7/16/2014
12/23/2008
5/31/2011
11/21/2008
8/29/2012
11/1/2012
12/11/2009
8/8/2012
8/9/2012
8/10/2012
9/19/2012
9/20/2012
9/21/2012
11/16/2012
12/5/2008
6/19/2012
3/11/2015
9/11/2009
9/17/2010
2/6/2009
2/15/2012
3/6/2009
5/3/2011
12/23/2008
2/24/2010
6/8/2010
6/12/2009
9/22/2011
12/5/2008
4/3/2012
5/22/2013
1/9/2009
4/29/2013
5/31/2013
7/1/2015
12/22/2009
11/9/2012
1/11/2013
2/27/2009
10/29/2012
10/31/2012
1/11/2013
8/28/2009
9/22/2011
11/14/2008
12/22/2010
3/9/2011
8/28/2009
12/20/2012
1/11/2013
3/26/2013
3/13/2009
8/12/2013
9/12/2013
12/12/2008
4/7/2010
2/27/2009
9/29/2010
8/30/2013
1/16/2009
5/27/2009
2/6/2009
12/7/2011
2/13/2009
9/15/2011
2/20/2009
9/22/2011
11/23/2011
12/5/2008
11/23/2011
12/21/2011
3/13/2009
8/29/2012
3/20/2009
8/4/2011
11/21/2008
5/27/2009
6/24/2009
3/13/2009
9/15/2011
11/16/2011
11/21/2008
12/15/2010
1/5/2011
3/13/2009
10/29/2012
2/20/2009
12/18/2009
2/7/2013
2/8/2013
3/26/2013
3/6/2009
3/11/2013
4/9/2013
1/30/2009
12/11/2009
9/15/2011
1/9/2009
4/11/2013
12/23/2008
2/20/2013
7/17/2009
9/28/2011
11/28/2012
1/30/2009
6/16/2010
3/6/2009
3/26/2013
3/27/2013
3/28/2013
4/9/2013
1
Original Investment Type
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Exercised Warrants
Original Investment Amount
$25,000,000.00
$10,958,000.00
Outstanding Investment
$0.00
$0.00
$2,200,000.00
$2,836,000.00
$0.00
$23,184,000.00
$0.00
2
Total Cash Back
Investment Status*
$28,810,847.55 Redeemed, in full; warrants not outstanding
$11,956,712.44 Sold, in full; warrants not outstanding
Amount
$25,245,684.71 Sold, in full; warrants not outstanding
$4,500,000.00
$0.00
$5,339,487.75 Redeemed, in full; warrants not outstanding
$41,500,000.00
$0.00
$42,839,002.78 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$14,800,000.00
$0.00
$19,957,763.30 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
$10,685,000.00
$0.00
$8,499,249.92 Sold, in full; warrants not outstanding
Preferred Stock w/ Warrants
$11,350,000.00
$0.00
$13,425,979.36 Sold, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$22,000,000.00
$0.00
$18,252,479.06 Sold, in full; warrants not outstanding
$10,082,565.38
$37,000,000.00
$0.00
Subordinated Debentures w/ Exercised Warrants
$7,500,000.00
$0.00
$8,514,738.21 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$5,000,000.00
$0.00
$6,074,313.00 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
$16,500,000.00
$0.00
$6,570,625.00 Sold, in full; warrants not outstanding
Preferred Stock w/ Warrants
$80,000,000.00
$0.00
$53,610,300.92 Sold, in full; warrants not outstanding
$87,644,066.10 Redeemed, in full; warrants not outstanding
$3,756,000.00
$0.00
Preferred Stock w/ Warrants
$65,000,000.00
$0.00
$68,141,972.19 Sold, in full; warrants not outstanding
Preferred Stock w/ Warrants
$20,000,000.00
$0.00
$12,336,278.00 Sold, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$8,700,000.00
$0.00
$4,563,280.34 Redeemed, in full; warrants not outstanding
$9,522,346.17 Sold, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$7,570,000.00
$0.00
Preferred Stock w/ Exercised Warrants
$20,699,000.00
$0.00
$24,059,476.66 Redeemed, in full; warrants not outstanding
$866,540,000.00
$0.00
$1,037,467,405.56 Redeemed, in full; warrants not outstanding
$3,223,000.00
$0.00
Preferred Stock w/ Warrants
Preferred Stock
Preferred Stock w/ Exercised Warrants
$8,702,021.25 Sold, in full; warrants not outstanding
$2,820,256.96 Sold, in full; warrants not outstanding
$6,398,000.00
$0.00
Preferred Stock w/ Warrants
$10,000,000.00
$0.00
$12,147,768.63 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
$30,000,000.00
$0.00
$36,472,843.94 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$12,000,000.00
$0.00
$12,837,983.33 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
$33,900,000.00
$0.00
$40,834,859.35 Redeemed, in full; warrants not outstanding
$4,797,000.00
$0.00
$5,713,865.00 Redeemed, in full; warrants not outstanding
$116,000,000.00
$0.00
$131,383,055.11 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
$4,118,886.85 Sold, in full; warrants not outstanding
$193,000,000.00
$0.00
Preferred Stock w/ Exercised Warrants
$13,900,000.00
$0.00
$15,329,326.44 Sold, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$17,836,000.00
$0.00
$21,033,989.56 Redeemed, in full; warrants not outstanding
$184,011,000.00
$0.00
$191,464,618.00 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
$222,528,333.33 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
$17,390,000.00
$0.00
$19,943,580.33 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
$19,300,000.00
$0.00
$22,297,560.34 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
$72,927,000.00
$0.00
$7,009,094.50 Exited bankruptcy/Receivership
$4,579,000.00
$4,596,000.00
$0.00
$9,948,069.58 Sold, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$15,349,000.00
$0.00
Preferred Stock w/ Exercised Warrants
$2,600,000.00
$2,417,000.00
$0.00
Preferred Stock w/ Warrants
$33,000,000.00
$0.00
$16,315,362.00 Sold, in full; warrants not outstanding
Preferred Stock w/ Warrants
$7,400,000.00
$0.00
$4,030,944.44 Sold, in full; warrants not outstanding
Subordinated Debentures w/ Exercised Warrants
$50,000,000.00
$0.00
$65,432,450.94 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$10,900,000.00
$0.00
$12,263,468.31 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$5,500,000.00
$0.00
Preferred Stock w/ Exercised Warrants
($151,238.48)
$5,036,000.00
$21,004,704.00
Shares
Avg. Price
25,000
$1,000.00
10,958
$920.11
5,036
$1,000.00
23,184
$906.00
(Realized Loss) / (Write-off)
Gain
5
($875,434.62)
$12,994,059.00 Sold, in full; warrants not outstanding
($2,179,296.00)
$4,500,000.00
4,500
$1,000.00
41,500
$1,000.00
$14,800,000.00
14,800
$1,000.00
$7,754,267.48
10,685
$725.72
($2,930,732.52)
11,350
$982.83
($194,879.50)
$11,155,120.50
$35,618,420.00
($167,326.81)
($143,550.00)
($534,276.30)
500
4,676
16,824
$652.50
$652.50
$652.50
($173,750.00)
($1,624,910.00)
($5,846,340.00)
($1,381,580.00)
Wt Amount
Wt Shares
$599,042.00
599,042
$266,041.78
417,648
$110,000.00
110
$563,174.00
469,312
$225,000.00
225
$30,600.00
88,273
$740,000.00
740
$297,500.00
195,915
$70,727.58
$440,082.72
$209,563.20
108
672
320
37,000
$962.66
$11,979,295.00
550,595
$7,500,000.00
7,500,000
$1.00
$375,000.00
375,000
$5,000,000.00
5,000
$1,000.00
$250,000.00
250
$6,000,000.00
16,500
$363.64
$80,000,000.00
80,000
$1,000.00
$3,756,000.00
3,756,000
$1.00
$56,778,150.00
$10,842,200.00
$8,025,750.00
$26,398.99
$6,864,647.71
($851,672.25)
($108,422.00)
($80,257.50)
($68,910.46)
$20,699,000.00
$866,540,000.00
$2,336,675.00
$3,247,112.96
($23,366.75)
($26,633.25)
65,000
$873.51
($8,221,850.00)
$542.11
($9,157,800.00)
8,700
$922.50
($674,250.00)
29
7,541
$910.31
$910.31
($2,601.01)
($676,352.29)
2,070
$10,000.00
866,540
$1,000.00
3,223
$725.00
($886,325.00)
($3,150,887.04)
6,398
$507.52
10,000
$1,000.00
$30,000,000.00
30,000
$1,000.00
$12,000,000.00
12,000
$1,000.00
$33,900,000.00
35,595
$1,000.00
$4,797,000.00
4,797
$1,000.00
$116,000,000.00
116,000
$1,000.00
193,000
$1,000.00
($25,000.00)
$193,000,000.00
$12,266,750.00
($184,001.25)
($10,500,000.00)
20,000
$10,000,000.00
13,900
$882.50
$17,836,000.00
17,836
$1,000.00
$184,011,000.00
184,011
$1,000.00
$17,390,000.00
17,390
$1,000.00
$19,300,000.00
19,300
$1,000.00
$6,682,192.50
$1,410,831.60
7,575
1,600
$882.14
$881.77
15,349
$679.61
$1,000.00
$2,966,288.32
465,117
$113,000.00
113,000
$1,400,000.00
241,696
$2,500.00
215,983
$256,118.75
261
$362,118.92
379
$1,030,000.00
103
$79,700,000.00
14,842,321
$139,320.00
320
$1,488,046.41
199,203
$4,089,510.61
513,113
$600,000.00
600
$1,695,000.00
($1,633,250.00)
$240,000.00
240
$367,500.00
991,453
$900,000.00
1,305,230
$624,674.69
695
$892,000.00
892
$2,700,000.00
953,096
$375,000.00
352,977
$1,003,227.00
280,795
($892,807.50)
($189,168.40)
$48,083.60
$176,633.62
49
180
($4,917,666.11)
$624,632.45
767
$130,000.00
130
($72,927,000.00)
$10,431,333.89
$5,731,793.60 Redeemed, in full; warrants not outstanding
$5,359,772.59 Sold, in full; warrants not outstanding
($315,070.56)
$41,500,000.00
$326,250.00
$3,051,090.00
$10,977,660.00
Subordinated Debentures w/ Exercised Warrants
4
$5,446,642.94 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
(Fee)
$25,000,000.00
($80,930.24)
($104,313.34)
$5,017,000.00
5,017
$14,912,862.00
9,941,908
$1.50
($18,087,138.00)
$3,700,000.00
7,400
$500.00
($3,700,000.00)
$13,125,000.00
$36,875,000.00
13,125,000
36,875,000
$1.00
$1.00
$2,500,000.00
2,500,000
$10,900,000.00
10,900
$1,000.00
$545,000.00
545
$315,007.00
$2,835,063.00
$1,800,040.00
350
3,150
2,000
$900.02
$900.02
$900.02
$206,048.21
$45,788.48
225
50
($49,501.10)
($34,993.00)
($314,937.00)
($199,960.00)
20
Footnote
8,14,44
14,15
8,11,14
8,11,14,36
8,14,18
11
8,84
8,14,44
12,16
8,14,45
8,11,14
8,66,97
8,14,45
50,97
8,11,14
8,14
15
11,14,15
8,14,44
11,14,15
11
8,14
8,11,14
8
8,14
8,17,91,97
11
8,127
8,14,44
15
8,144
8,14,18,44
15
45
8,11,14
8,11,14
8
8,68,97
8,14,45
9,15,36
11
Institution Name
FIRST TEXAS BHC, INC.
FIRST TEXAS BHC, INC.
FIRST TRUST CORPORATION
FIRST TRUST CORPORATION
FIRST TRUST CORPORATION
FIRST ULB CORP.
FIRST ULB CORP.
FIRST UNITED CORPORATION
FIRST UNITED CORPORATION
FIRST UNITED CORPORATION
FIRST UNITED CORPORATION
FIRST UNITED CORPORATION
FIRST VERNON BANCSHARES, INC.
FIRST VERNON BANCSHARES, INC.
FIRST WESTERN FINANCIAL, INC.
FIRST WESTERN FINANCIAL, INC.
FIRST WESTERN FINANCIAL, INC.
FIRST WESTERN FINANCIAL, INC.
FIRST WESTERN FINANCIAL, INC.
FIRST WESTERN FINANCIAL, INC.
FIRST WESTERN FINANCIAL, INC.
FIRSTBANK CORPORATION
FIRSTBANK CORPORATION
FIRSTBANK CORPORATION
FIRSTMERIT CORPORATION
FIRSTMERIT CORPORATION
FIRSTMERIT CORPORATION
FLAGSTAR BANCORP, INC.
FLAGSTAR BANCORP, INC.
FLAGSTAR BANCORP, INC.
FLAGSTAR BANCORP, INC.
FLAGSTAR BANCORP, INC.
FLAGSTAR BANCORP, INC.
FLORIDA BANK GROUP, INC.
FLORIDA BANK GROUP, INC.
FLORIDA BUSINESS BANCGROUP, INC.
FLORIDA BUSINESS BANCGROUP, INC.
FLUSHING FINANCIAL CORPORATION
FLUSHING FINANCIAL CORPORATION
FLUSHING FINANCIAL CORPORATION
FNB BANCORP
FNB BANCORP
FORESIGHT FINANCIAL GROUP, INC.
FORESIGHT FINANCIAL GROUP, INC.
FORT LEE FEDERAL SAVINGS BANK, FSB
FORT LEE FEDERAL SAVINGS BANK, FSB
FORTUNE FINANCIAL CORPORATION
FORTUNE FINANCIAL CORPORATION
FPB BANCORP, INC.
FPB BANCORP, INC.
FPB FINANCIAL CORP.
FPB FINANCIAL CORP.
FPB FINANCIAL CORP.
FRANKLIN BANCORP, INC.
FRANKLIN BANCORP, INC.
FRANKLIN BANCORP, INC.
FRANKLIN BANCORP, INC.
FREEPORT BANCSHARES, INC.
FREEPORT BANCSHARES, INC.
FREEPORT BANCSHARES, INC.
FREEPORT BANCSHARES, INC.
FREMONT BANCORPORATION
FREMONT BANCORPORATION
FRESNO FIRST BANK
FRESNO FIRST BANK
FRONTIER BANCSHARES, INC
FRONTIER BANCSHARES, INC
FRONTIER BANCSHARES, INC
FULTON FINANCIAL CORPORATION
FULTON FINANCIAL CORPORATION
FULTON FINANCIAL CORPORATION
GATEWAY BANCSHARES, INC.
GATEWAY BANCSHARES, INC.
GEORGIA COMMERCE BANCSHARES, INC.
GEORGIA COMMERCE BANCSHARES, INC.
GEORGIA PRIMARY BANK
GEORGIA PRIMARY BANK
GEORGIA PRIMARY BANK
GERMANTOWN CAPITAL CORPORATION
GERMANTOWN CAPITAL CORPORATION
GERMANTOWN CAPITAL CORPORATION
GERMANTOWN CAPITAL CORPORATION
GOLD CANYON BANK
GOLD CANYON BANK
GOLDMAN SACHS GROUP, INC.
GOLDMAN SACHS GROUP, INC.
GOLDMAN SACHS GROUP, INC.
GOLDWATER BANK, N.A.
GOLDWATER BANK, N.A.
GRAND CAPITAL CORPORATION
GRAND CAPITAL CORPORATION
GRAND FINANCIAL CORPORATION
GRAND FINANCIAL CORPORATION
GRAND MOUNTAIN BANCSHARES, INC.
GRAND MOUNTAIN BANCSHARES, INC.
GRANDSOUTH BANCORPORATION
GRANDSOUTH BANCORPORATION
GRANDSOUTH BANCORPORATION
GREAT RIVER HOLDING COMPANY
GREAT RIVER HOLDING COMPANY
GREAT RIVER HOLDING COMPANY
GREAT RIVER HOLDING COMPANY
GREAT SOUTHERN BANCORP
GREAT SOUTHERN BANCORP
GREAT SOUTHERN BANCORP
GREEN BANKSHARES, INC.
GREEN BANKSHARES, INC.
GREEN CIRCLE INVESTMENTS, INC.
GREEN CIRCLE INVESTMENTS, INC.
GREEN CIRCLE INVESTMENTS, INC.
GREEN CIRCLE INVESTMENTS, INC.
GREEN CITY BANCSHARES, INC.
GREEN CITY BANCSHARES, INC.
GREER BANCSHARES INCORPORATED
GREER BANCSHARES INCORPORATED
GREER BANCSHARES INCORPORATED
GREER BANCSHARES INCORPORATED
GREGG BANCSHARES, INC.
GREGG BANCSHARES, INC.
GUARANTY BANCORP, INC.
GUARANTY BANCORP, INC.
GUARANTY CAPITAL CORPORATION
GUARANTY CAPITAL CORPORATION
GUARANTY FEDERAL BANCSHARES, INC.
GUARANTY FEDERAL BANCSHARES, INC.
GUARANTY FEDERAL BANCSHARES, INC.
GUARANTY FEDERAL BANCSHARES, INC.
GUARANTY FEDERAL BANCSHARES, INC.
GUARANTY FEDERAL BANCSHARES, INC.
City
FORT WORTH
FORT WORTH
NEW ORLEANS
NEW ORLEANS
NEW ORLEANS
OAKLAND
OAKLAND
OAKLAND
OAKLAND
OAKLAND
OAKLAND
OAKLAND
VERNON
VERNON
DENVER
DENVER
DENVER
DENVER
DENVER
DENVER
DENVER
ALMA
ALMA
ALMA
AKRON
AKRON
AKRON
TROY
TROY
TROY
TROY
TROY
TROY
TAMPA
TAMPA
TAMPA
TAMPA
LAKE SUCCESS
LAKE SUCCESS
LAKE SUCCESS
SOUTH SAN FRANCISCO
SOUTH SAN FRANCISCO
ROCKFORD
ROCKFORD
FORT LEE
FORT LEE
ARNOLD
ARNOLD
PORT ST. LUCIE
PORT ST. LUCIE
HAMMOND
HAMMOND
HAMMOND
WASHINGTON
WASHINGTON
WASHINGTON
WASHINGTON
FREEPORT
FREEPORT
FREEPORT
FREEPORT
FREMONT
FREMONT
FRESNO
FRESNO
AUSTIN
AUSTIN
AUSTIN
LANCASTER
LANCASTER
LANCASTER
RINGGOLD
RINGGOLD
ATLANTA
ATLANTA
ATLANTA
ATLANTA
ATLANTA
GERMANTOWN
GERMANTOWN
GERMANTOWN
GERMANTOWN
GOLD CANYON
GOLD CANYON
NEW YORK
NEW YORK
NEW YORK
SCOTTSDALE
SCOTTSDALE
TULSA
TULSA
HATTIESBURG
HATTIESBURG
GRANBY
GRANBY
GREENVILLE
GREENVILLE
GREENVILLE
BAXTER
BAXTER
BAXTER
BAXTER
SPRINGFIELD
SPRINGFIELD
SPRINGFIELD
GREENEVILLE
GREENEVILLE
CLIVE
CLIVE
CLIVE
CLIVE
GREEN CITY
GREEN CITY
GREER
GREER
GREER
GREER
OZARK
OZARK
WOODSVILLE
WOODSVILLE
BELZONI
BELZONI
SPRINGFIELD
SPRINGFIELD
SPRINGFIELD
SPRINGFIELD
SPRINGFIELD
SPRINGFIELD
State
TX
TX
LA
LA
LA
CA
CA
MD
MD
MD
MD
MD
AL
AL
CO
CO
CO
CO
CO
CO
CO
MI
MI
MI
OH
OH
OH
MI
MI
MI
MI
MI
MI
FL
FL
FL
FL
NY
NY
NY
CA
CA
IL
IL
NJ
NJ
MO
MO
FL
FL
LA
LA
LA
MO
MO
MO
MO
IL
IL
IL
IL
CA
CA
CA
CA
TX
TX
TX
PA
PA
PA
GA
GA
GA
GA
GA
GA
GA
TN
TN
TN
TN
AZ
AZ
NY
NY
NY
AZ
AZ
OK
OK
MS
MS
CO
CO
SC
SC
SC
MN
MN
MN
MN
MO
MO
MO
TN
TN
IA
IA
IA
IA
MO
MO
SC
SC
SC
SC
MO
MO
NH
NH
MS
MS
MO
MO
MO
MO
MO
MO
Date
3/6/2009
9/15/2011
6/5/2009
2/20/2013
3/26/2013
1/23/2009
4/22/2009
1/30/2009
12/3/2014
12/4/2014
1/9/2015
5/27/2015
6/12/2009
9/29/2010
2/6/2009
12/11/2009
8/9/2012
8/10/2012
9/11/2012
6/24/2013
7/26/2013
1/30/2009
7/3/2012
7/18/2012
1/9/2009
4/22/2009
5/27/2009
1/30/2009
3/26/2013
3/27/2013
3/28/2013
4/9/2013
6/12/2013
7/24/2009
8/14/2013
2/20/2009
9/22/2011
12/19/2008
10/28/2009
12/30/2009
2/27/2009
9/15/2011
5/15/2009
12/11/2012
5/22/2009
4/20/2012
4/3/2009
9/15/2011
12/5/2008
7/15/2011
1/23/2009
12/16/2009
6/16/2010
5/22/2009
11/9/2012
11/13/2012
1/11/2013
5/8/2009
4/11/2014
4/14/2014
7/18/2014
6/26/2009
7/25/2012
1/23/2009
11/1/2012
4/24/2009
11/24/2009
10/6/2010
12/23/2008
7/14/2010
9/8/2010
5/8/2009
4/13/2012
2/6/2009
2/16/2011
5/1/2009
2/10/2014
3/19/2014
3/6/2009
10/29/2012
10/31/2012
1/11/2013
6/26/2009
4/5/2013
10/28/2008
6/17/2009
7/22/2009
1/30/2009
9/21/2015
4/24/2009
9/8/2011
9/25/2009
7/8/2015
5/29/2009
9/7/2017
1/9/2009
12/11/2009
9/8/2011
7/17/2009
4/11/2014
4/14/2014
7/18/2014
12/5/2008
8/18/2011
9/21/2011
12/23/2008
9/7/2011
2/27/2009
11/14/2012
1/23/2013
4/24/2013
2/27/2009
7/14/2010
1/30/2009
3/19/2014
6/11/2014
7/23/2014
2/13/2009
7/13/2012
2/20/2009
9/15/2011
9/25/2009
7/30/2010
1/30/2009
6/13/2012
4/26/2013
4/29/2013
5/15/2013
5/31/2013
1
Original Investment Type
Preferred Stock w/ Exercised Warrants
Subordinated Debentures w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Warrants
Original Investment Amount
$13,533,000.00
Outstanding Investment
$0.00
$17,969,000.00
$0.00
$4,900,000.00
$0.00
$30,000,000.00
$0.00
$6,000,000.00
$0.00
$8,559,000.00
$11,881,000.00
$0.00
2
Total Cash Back
Investment Status*
$16,072,389.00 Redeemed, in full; warrants not outstanding
$15,304,180.50 Sold, in full; warrants not outstanding
$5,211,020.69 Redeemed, in full; warrants not outstanding
$40,183,721.33 Sold, in full; warrants not outstanding
$6,662,770.42 Redeemed, in full; warrants not outstanding
$21,142,314.80 Sold, in full; warrants not outstanding
Amount
$13,750,058.49
$33,000,000.00
$0.00
Preferred Stock w/ Warrants
$125,000,000.00
$0.00
Preferred Stock w/ Warrants
$38,185,560.05 Sold, in full; warrants not outstanding
$131,813,194.44 Redeemed, in full; warrants not outstanding
$266,657,000.00
$0.00
$277,861,053.94 Sold, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$20,471,000.00
$0.00
$9,180,793.08 Sold, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$9,495,000.00
$0.00
$11,309,750.50 Redeemed, in full; warrants not outstanding
$70,000,000.00
$0.00
$73,904,166.66 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
Preferred Stock w/ Exercised Warrants
$12,000,000.00
$0.00
$14,267,700.00 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$15,000,000.00
$0.00
$18,670,291.67 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$1,300,000.00
$0.00
Preferred Stock w/ Exercised Warrants
$3,100,000.00
$0.00
Preferred Stock w/ Warrants
$5,800,000.00
$0.00
Preferred Stock w/ Exercised Warrants
$3,240,000.00
$0.00
$3,623,721.50 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$5,097,000.00
$0.00
$4,336,183.67 Sold, in full; warrants not outstanding
Subordinated Debentures w/ Exercised Warrants
$3,000,000.00
$0.00
$4,363,022.95 Sold, in full; warrants not outstanding
Subordinated Debentures w/ Exercised Warrants
$35,000,000.00
$0.00
$45,796,066.36 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$1,968,000.00
$0.00
$2,437,100.33 Redeemed, in full; warrants not outstanding
Subordinated Debentures w/ Exercised Warrants
$3,000,000.00
$0.00
$3,408,191.65 Redeemed, in full; warrants not outstanding
$376,500,000.00
$0.00
$416,635,625.00 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$6,000,000.00
$0.00
$7,260,794.87 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$8,700,000.00
$0.00
$10,096,470.83 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$4,500,000.00
$0.00
Preferred Stock w/ Warrants
Preferred Stock w/ Exercised Warrants
$4,967,000.00
$0.00
Preferred Stock w/ Exercised Warrants
$1,607,000.00
$0.00
Preferred Stock w/ Warrants
$87,184.85 Exited bankruptcy/Receivership
$3,668,927.67 Redeemed, in full; warrants not outstanding
$273,888.89 Currently Not Collectible
$1,576,457.50 Sold, in full; warrants not outstanding
$5,699,100.75 Sold, in full; warrants not outstanding
$10,000,000,000.00
$0.00
$11,418,055,555.44 Redeemed, in full; warrants not outstanding
$2,568,000.00
$0.00
$1,493,750.00 Sold, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$4,000,000.00
$0.00
$4,717,144.78 Redeemed, in full; warrants not outstanding
Subordinated Debentures w/ Exercised Warrants
$2,443,320.00
$0.00
$3,868,471.61 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$3,076,000.00
$0.00
$3,928,001.30 Sold, in full; warrants not outstanding
Preferred Stock w/ Warrants
$9,000,000.00
$6,319,000.00
$0.00
$17,625,917.08 Redeemed, in full; warrants not outstanding
Subordinated Debentures w/ Exercised Warrants
$8,400,000.00
$0.00
$11,306,571.15 Sold, in full; warrants not outstanding
Preferred Stock w/ Warrants
$58,000,000.00
$0.00
$72,274,419.56 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
$72,278,000.00
$0.00
$74,642,857.78 Sold, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$2,400,000.00
$0.00
$3,036,021.12 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$651,000.00
$0.00
$733,037.33 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$9,993,000.00
$0.00
$13,693,111.07 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$825,000.00
$0.00
Preferred Stock w/ Exercised Warrants
$6,920,000.00
$0.00
$8,235,040.33 Redeemed, in full; warrants not outstanding
$45,190.00 Currently Not Collectible
Subordinated Debentures
$14,000,000.00
$0.00
$14,913,299.33 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
$17,000,000.00
$0.00
$21,887,871.44 Sold, in full; warrants not outstanding
($137,500.58)
Shares
Avg. Price
13,533
$1,000.00
17,969,000
$0.77
(Realized Loss) / (Write-off)
4,900
$1,000.00
7,800
22,200
$1,002.01
$1,002.01
$6,000,000.00
6,000
$1,000.00
$6,138,000.00
$62,000.00
7,920
80
$775.00
$775.00
($1,782,000.00)
($18,000.00)
12,440
$883.78
($1,445,760.00)
($1,946,670.00)
$31,053,330.00
($300,603.00)
($62,000.00)
($109,942.41)
($465,799.95)
33,000
$941.01
125,000
$1,000.00
$1,439,258.50
$228,401,847.00
$13,216,750.00
1,579
250,578
14,500
$911.50
$911.50
$911.50
($139,741.50)
($22,176,153.00)
($1,283,250.00)
20,471
$390.80
($12,471,000.00)
($2,430,578.56)
$9,495,000.00
9,495
$1,000.00
$70,000,000.00
70,000
$1,000.00
$12,000,000.00
12,000
$15,000,000.00
15,000
5
Wt Amount
Wt Shares
$677,000.00
677
$644,726.19
898,000
$245,000.00
245
$117,162.42
326,323
$245,000.00
245
$311,681.70
$39,370.32
380
48
$1,946,670.00
578,947
$5,025,000.00
952,260
$12,905.00
645,138
$15,678.00
$44,622.00
$125,000,000.00
$8,000,000.00
Gain
($4,218,941.51)
$4,900,000.00
$475,000.00
475
$900,000.00
375,806
$1,000.00
$600,000.00
600
$1,000.00
$750,000.00
750
$155,000.00
155
($1,300,000.00)
$3,100,000.00
3,100
$1,000.00
($5,800,000.00)
$1,000,000.00
$2,240,000.00
1,000
2,240
$1,000.00
$1,000.00
$594,550.00
$2,629,302.50
940
4,157
$632.50
$632.50
2,800,000
200,000
$1.01
$1.01
$2,800,000.00
$200,000.00
($25,000.00)
($25,000.00)
$35,000,000.00
($345,450.00)
($1,527,697.50)
$18,228.00
$1,302.00
$162,000.00
162
$126,798.62
$45,188.88
188
67
$84,514.33
$42,257.17
100,000
50,000
1,750,000
35,000,000
$1.00
$1,750,000.00
$1,968,000.00
1,968
$1,000.00
$98,000.00
98
$1,600,000.00
$1,400,000.00
1,600,000
1,400,000
$1.00
$1.00
$150,000.00
150,000
$376,500,000.00
376,500
$1,000.00
$10,800,000.00
5,509,756
$6,000,000.00
6,000
$1,000.00
$300,000.00
300
$8,700,000.00
8,700
$1,000.00
$435,000.00
435
4,500
$345.81
($2,943,855.00)
$45,312.50
225
29
4,938
$910.13
$910.13
($2,606.23)
($443,778.06)
$214,595.28
248
$1,100,000,000.00
12,205,045
$1,556,145.00
$26,393.77
$4,494,221.94
$53,859.52 Exited bankruptcy/Receivership
Preferred Stock w/ Exercised Warrants
4
$7,800,000.00
$22,200,000.00
$10,994,240.00
Preferred Stock w/ Warrants
(Fee)
$13,533,000.00
($25,000.00)
($25,000.00)
($1,607,000.00)
$10,000,000,000.00
10,000,000
$1,000.00
$1,348,000.00
2,568
$524.92
$4,000,000.00
4,000
$1,000.00
$2,443,320.00
2,443,320
$1.00
$3,076,000.00
2,310,589
$1.70
$15,319,000.00
15,319
$1,000.00
$4,800,000.00
$3,600,000.00
4,800,000
3,600,000
$1.19
$1.19
$58,000,000.00
58,000
$1,000.00
$68,700,000.00
72,278
$950.50
$800,000.00
$800,000.00
$800,000.00
800
800
800
$651,000.00
($1,220,000.00)
$200,000.00
200
$122,000.00
122,000
$852,001.30
$450,000.00
450
$626,007.69
420,000
$6,436,364.00
909,091
$1,000.00
$1,000.00
$1,000.00
$120,000.00
120
651
$1,000.00
$33,000.00
33
$3,150,000.00
$1,980,000.00
$4,863,000.00
3,150
1,980
4,863
$1,000.00
$1,000.00
$1,000.00
$500,000.00
500
$6,920,000.00
6,920
$1,000.00
$346,000.00
346
$14,000,000.00
14,000,000
$1.00
$5,000,000.00
$96,750.00
$11,513,250.00
5,000
100
11,900
$1,000.00
$967.50
$967.50
$2,003,250.00
459,459
($100,212.00)
$926,400.00
$694,800.00
($3,578,000.00)
($825,000.00)
($116,100.00)
($3,250.00)
($386,750.00)
21
Footnote
17,28,70,97
8,14,45
8,11,14
38
8,9
8,11,14
11
131
8,17
45
8,17,45
11
11,16
11
11
8,18,21,44
8,111
8,11,14
11
8
8,14
8,17
11
11,45
8,14,44
8,11,14,18
11
8,14
8,17
9,15,36
12,16
8,14
8,10,11
8,14,44
8,108
8,14,18,44
8
11
29
8,22,92,97
11
22,52,97
115
11
15,71,97
Institution Name
GULFSOUTH PRIVATE BANK
GULFSOUTH PRIVATE BANK
GULFSTREAM BANCSHARES, INC.
GULFSTREAM BANCSHARES, INC.
HAMILTON STATE BANCSHARES, INC.
HAMILTON STATE BANCSHARES, INC.
HAMPTON ROADS BANKSHARES, INC. / XENITH BANKSHARES, INC.
HAMPTON ROADS BANKSHARES, INC. / XENITH BANKSHARES, INC.
HAMPTON ROADS BANKSHARES, INC. / XENITH BANKSHARES, INC.
HARBOR BANKSHARES CORPORATION
HAVILAND BANCSHARES, INC.
HAVILAND BANCSHARES, INC.
HAWTHORN BANCSHARES, INC.
HAWTHORN BANCSHARES, INC.
HAWTHORN BANCSHARES, INC.
HAWTHORN BANCSHARES, INC.
HCSB FINANCIAL CORPORATION
HCSB FINANCIAL CORPORATION
HEARTLAND BANCSHARES, INC.
HEARTLAND BANCSHARES, INC.
HEARTLAND FINANCIAL USA, INC.
HEARTLAND FINANCIAL USA, INC.
HEARTLAND FINANCIAL USA, INC.
HERITAGE BANKSHARES, INC.
HERITAGE BANKSHARES, INC.
HERITAGE BANKSHARES, INC.
HERITAGE COMMERCE CORP.
HERITAGE COMMERCE CORP.
HERITAGE COMMERCE CORP.
HERITAGE FINANCIAL CORPORATION
HERITAGE FINANCIAL CORPORATION
HERITAGE FINANCIAL CORPORATION
HERITAGE OAKS BANCORP
HERITAGE OAKS BANCORP
HERITAGE OAKS BANCORP
HF FINANCIAL CORP.
HF FINANCIAL CORP.
HF FINANCIAL CORP.
HIGHLANDS BANCORP, INC.
HIGHLANDS BANCORP, INC.
HIGHLANDS BANCORP, INC.
HIGHLANDS INDEPENDENT BANCSHARES, INC.
HIGHLANDS INDEPENDENT BANCSHARES, INC.
HILLTOP COMMUNITY BANCORP, INC.
HILLTOP COMMUNITY BANCORP, INC.
HMN FINANCIAL, INC.
HMN FINANCIAL, INC.
HMN FINANCIAL, INC.
HMN FINANCIAL, INC.
HMN FINANCIAL, INC.
HMN FINANCIAL, INC.
HOME BANCSHARES, INC.
HOME BANCSHARES, INC.
HOME BANCSHARES, INC.
HOMETOWN BANCORP OF ALABAMA, INC.
HOMETOWN BANCORP OF ALABAMA, INC.
HOMETOWN BANCSHARES, INC.
HOMETOWN BANCSHARES, INC.
HOMETOWN BANCSHARES, INC.
HOMETOWN BANCSHARES, INC.
HOMETOWN BANCSHARES, INC.
HOMETOWN BANKSHARES CORPORATION
HOMETOWN BANKSHARES CORPORATION
HOMETOWN BANKSHARES CORPORATION
HOPFED BANCORP
HOPFED BANCORP
HOPFED BANCORP
HORIZON BANCORP
HORIZON BANCORP
HORIZON BANCORP
HORIZON BANCORP
HOWARD BANCORP, INC.
HOWARD BANCORP, INC.
HPK FINANCIAL CORPORATION
HPK FINANCIAL CORPORATION
HPK FINANCIAL CORPORATION
HUNTINGTON BANCSHARES
HUNTINGTON BANCSHARES
HUNTINGTON BANCSHARES
HYPERION BANK
HYPERION BANK
HYPERION BANK
HYPERION BANK
IA BANCORP, INC / INDUS AMERICAN BANK
IA BANCORP, INC / INDUS AMERICAN BANK
IA BANCORP, INC / INDUS AMERICAN BANK
IA BANCORP, INC / INDUS AMERICAN BANK
IBC BANCORP, INC.
IBC BANCORP, INC.
IBERIABANK CORPORATION
IBERIABANK CORPORATION
IBERIABANK CORPORATION
IBT BANCORP, INC.
IBT BANCORP, INC.
IBW FINANCIAL CORPORATION
IBW FINANCIAL CORPORATION
ICB FINANCIAL
ICB FINANCIAL
IDAHO BANCORP
IDAHO BANCORP
ILLINOIS STATE BANCORP, INC.
ILLINOIS STATE BANCORP, INC.
ILLINOIS STATE BANCORP, INC.
INDEPENDENCE BANK
INDEPENDENCE BANK
INDEPENDENT BANK CORP.
INDEPENDENT BANK CORP.
INDEPENDENT BANK CORP.
INDEPENDENT BANK CORPORATION
INDEPENDENT BANK CORPORATION
INDIANA BANK CORP.
INDIANA BANK CORP.
INDIANA COMMUNITY BANCORP
INDIANA COMMUNITY BANCORP
INTEGRA BANK CORPORATION
INTEGRA BANK CORPORATION
INTERMOUNTAIN COMMUNITY BANCORP
INTERMOUNTAIN COMMUNITY BANCORP
INTERMOUNTAIN COMMUNITY BANCORP
INTERNATIONAL BANCSHARES CORPORATION
INTERNATIONAL BANCSHARES CORPORATION
INTERNATIONAL BANCSHARES CORPORATION
INTERNATIONAL BANCSHARES CORPORATION
INTERNATIONAL BANCSHARES CORPORATION
INTERVEST BANCSHARES CORPORATION
INTERVEST BANCSHARES CORPORATION
INTERVEST BANCSHARES CORPORATION
INTERVEST BANCSHARES CORPORATION
INVESTORS FINANCIAL CORPORATION OF PETTIS COUNTY, INC.
City
DESTIN
DESTIN
STUART
STUART
HOSCHTON
HOSCHTON
NORFOLK
NORFOLK
NORFOLK
BALTIMORE
HAVILAND
HAVILAND
LEE'S SUMMIT
LEE'S SUMMIT
LEE'S SUMMIT
LEE'S SUMMIT
LORIS
LORIS
FRANKLIN
FRANKLIN
DUBUQUE
DUBUQUE
DUBUQUE
NORFOLK
NORFOLK
NORFOLK
SAN JOSE
SAN JOSE
SAN JOSE
OLYMPIA
OLYMPIA
OLYMPIA
PASO ROBLES
PASO ROBLES
PASO ROBLES
SIOUX FALLS
SIOUX FALLS
SIOUX FALLS
VERNON
VERNON
VERNON
SEBRING
SEBRING
SUMMIT
SUMMIT
ROCHESTER
ROCHESTER
ROCHESTER
ROCHESTER
ROCHESTER
ROCHESTER
CONWAY
CONWAY
CONWAY
ONEONTA
ONEONTA
CORBIN
CORBIN
CORBIN
CORBIN
CORBIN
ROANOKE
ROANOKE
ROANOKE
HOPKINSVILLE
HOPKINSVILLE
HOPKINSVILLE
MICHIGAN CITY
MICHIGAN CITY
MICHIGAN CITY
MICHIGAN CITY
ELLICOTT CITY
ELLICOTT CITY
CHICAGO
CHICAGO
CHICAGO
COLUMBUS
COLUMBUS
COLUMBUS
PHILADELPHIA
PHILADELPHIA
PHILADELPHIA
PHILADELPHIA
ISELIN
ISELIN
ISELIN
ISELIN
CHICAGO
CHICAGO
LAFAYETTE
LAFAYETTE
LAFAYETTE
IRVING
IRVING
WASHINGTON
WASHINGTON
ONTARIO
ONTARIO
BOISE
BOISE
CHICAGO
CHICAGO
CHICAGO
EAST GREENWICH
EAST GREENWICH
ROCKLAND
ROCKLAND
ROCKLAND
IONIA
IONIA
DANA
DANA
COLUMBUS
COLUMBUS
EVANSVILLE
EVANSVILLE
SANDPOINT
SANDPOINT
SANDPOINT
LAREDO
LAREDO
LAREDO
LAREDO
LAREDO
NEW YORK
NEW YORK
NEW YORK
NEW YORK
SEDALIA
State
FL
FL
FL
FL
GA
GA
VA
VA
VA
MD
KS
KS
MO
MO
MO
MO
SC
SC
IN
IN
IA
IA
IA
VA
VA
VA
CA
CA
CA
WA
WA
WA
CA
CA
CA
SD
SD
SD
NJ
NJ
NJ
FL
FL
NJ
NJ
MN
MN
MN
MN
MN
MN
AR
AR
AR
AL
AL
KY
KY
KY
KY
KY
VA
VA
VA
KY
KY
KY
IN
IN
IN
IN
MD
MD
IL
IL
IL
OH
OH
OH
PA
PA
PA
PA
NJ
NJ
NJ
NJ
IL
IL
LA
LA
LA
TX
TX
DC
DC
CA
CA
ID
ID
IL
IL
IL
RI
RI
MA
MA
MA
MI
MI
IN
IN
IN
IN
IN
IN
ID
ID
ID
TX
TX
TX
TX
TX
NY
NY
NY
NY
MO
Date
9/25/2009
10/19/2012
6/26/2009
8/18/2011
2/20/2009
4/13/2011
12/31/2008
4/14/2014
9/13/2017
7/17/2009
3/13/2009
12/29/2010
12/19/2008
5/9/2012
5/15/2013
6/12/2013
3/6/2009
4/11/2016
9/11/2009
7/17/2012
12/19/2008
9/15/2011
9/28/2011
9/25/2009
3/16/2011
8/11/2011
11/21/2008
3/7/2012
6/10/2013
11/21/2008
12/22/2010
8/17/2011
3/20/2009
7/17/2013
8/7/2013
11/21/2008
6/3/2009
6/30/2009
5/8/2009
12/22/2009
9/22/2011
3/6/2009
10/24/2014
1/30/2009
4/21/2010
12/23/2008
2/7/2013
2/8/2013
3/26/2013
5/26/2015
5/28/2015
1/16/2009
7/6/2011
7/27/2011
2/20/2009
8/28/2013
2/13/2009
11/28/2012
11/30/2012
1/11/2013
3/26/2013
9/18/2009
10/31/2012
1/11/2013
12/12/2008
12/19/2012
1/16/2013
12/19/2008
11/10/2010
8/25/2011
11/23/2011
2/27/2009
9/22/2011
5/1/2009
11/13/2009
12/11/2012
11/14/2008
12/22/2010
1/19/2011
2/6/2009
12/20/2012
1/11/2013
3/26/2013
9/18/2009
3/14/2014
3/17/2014
4/25/2014
5/15/2009
9/10/2010
12/5/2008
3/31/2009
5/20/2009
3/27/2009
6/12/2013
3/13/2009
9/3/2010
3/6/2009
11/1/2012
1/16/2009
4/24/2014
5/22/2009
12/29/2009
9/22/2011
1/9/2009
10/16/2013
1/9/2009
4/22/2009
5/27/2009
12/12/2008
8/30/2013
4/24/2009
4/9/2013
12/12/2008
9/12/2012
2/27/2009
7/29/2011
12/19/2008
11/20/2013
10/31/2014
12/23/2008
7/11/2012
11/1/2012
11/28/2012
6/11/2013
12/23/2008
6/24/2013
7/26/2013
9/3/2014
5/8/2009
1
2
Original Investment Type
Preferred Stock w/ Exercised Warrants
Original Investment Amount
$7,500,000.00
Outstanding Investment
$0.00
Preferred Stock w/ Exercised Warrants
$7,500,000.00
$0.00
$8,751,541.63 Redeemed, in full; warrants not outstanding
$7,000,000.00
$0.00
$8,169,165.89 Redeemed, in full; warrants not outstanding
$80,347,000.00
$0.00
$7,461,608.79 Sold, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Warrants
Preferred Stock
Preferred Stock w/ Exercised Warrants
Total Cash Back
Investment Status*
$757,380.08 Exited bankruptcy/Receivership
$6,800,000.00
$425,000.00
$6,800,000.00
$0.00
Preferred Stock w/ Warrants
$30,255,000.00
$0.00
Preferred Stock w/ Warrants
$12,895,000.00
$0.00
$1,219,652.00 Sold, in full; warrants not outstanding
$7,000,000.00
$0.00
$8,321,471.08 Redeemed, in full; warrants not outstanding
$81,698,000.00
$0.00
$94,686,087.22 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Warrants
$282,744.47 Full investment outstanding; warrants not outstanding
$487,524.22 Redeemed, in full; warrants not outstanding
$36,849,504.67 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$10,103,000.00
$0.00
$11,353,284.46 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
$40,000,000.00
$0.00
$46,901,266.80 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
$24,000,000.00
$0.00
$26,953,333.33 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
$21,000,000.00
$0.00
$27,241,335.26 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
$25,000,000.00
$0.00
$26,316,666.67 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$3,091,000.00
$2,359,000.00
$0.00
Preferred Stock w/ Exercised Warrants
$6,700,000.00
$0.00
$6,165,312.00 Sold, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$4,000,000.00
$0.00
$4,467,049.67 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
$26,000,000.00
$0.00
$26,563,769.78 Sold, in full; warrants not outstanding
Preferred Stock w/ Warrants
$50,000,000.00
$0.00
$57,480,555.56 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$3,250,000.00
$0.00
$4,214,202.31 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$1,900,000.00
$0.00
$2,229,801.03 Sold, in full; warrants not outstanding
$10,000,000.00
$0.00
$11,111,011.94 Sold, in full; warrants not outstanding
Preferred Stock w/ Warrants
$18,400,000.00
$0.00
$22,354,145.89 Redeemed, in full; warrants not outstanding
$25,000,000.00
$0.00
$29,857,321.83 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$5,983,000.00
$0.00
$7,119,793.05 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$4,000,000.00
$5,000,000.00
$0.00
$10,940,554.65 Redeemed, in full; warrants not outstanding
$1,398,071,000.00
$0.00
Preferred Stock w/ Warrants
$1,594,356,808.56 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$1,552,000.00
$0.00
$1,337,166.22 Sold, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$5,976,000.00
$0.00
$6,907,223.22 Sold, in full; warrants not outstanding
Subordinated Debentures
$4,205,000.00
$0.00
$4,632,216.32 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
$90,000,000.00
$0.00
$92,650,000.00 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$2,295,000.00
$0.00
$2,936,462.50 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
$6,000,000.00
$0.00
$6,453,067.00 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$6,000,000.00
$0.00
$7,494,458.33 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$6,900,000.00
$0.00
Preferred Stock w/ Exercised Warrants
$6,272,000.00
$4,000,000.00
$0.00
$1,065,000.00
$0.00
$1,394,723.17 Redeemed, in full; warrants not outstanding
$78,158,000.00
$0.00
$81,476,093.61 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
$555,673.08 Exited bankruptcy/Receivership
$0.00
$1,312,000.00
$0.00
Preferred Stock w/ Warrants
$21,500,000.00
$0.00
Preferred Stock w/ Warrants
$83,586,000.00
$0.00
Preferred Stock w/ Warrants
$27,000,000.00
$0.00
$33,955,519.23 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
$216,000,000.00
$0.00
$261,538,649.89 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
$25,000,000.00
$0.00
Subordinated Debentures w/ Exercised Warrants
$4,000,000.00
$0.00
4
Shares
Avg. Price
(Realized Loss) / (Write-off)
Gain
5
$83,430,000.00 Redeemed, in full; warrants not outstanding
$165,139.00 Exited bankruptcy/Receivership
$27,331,250.00 Redeemed, in full; warrants not outstanding
$1,950,340.00 Currently Not Collectible
$32,927,621.56 Sold, in full; warrants not outstanding
$174,324.60 Currently Not Collectible
Wt Amount
Wt Shares
($7,500,000.00)
$7,500,000.00
7,500
$1,000.00
$375,000.00
$7,000,000.00
280
$25,000.00
$350,000.00
35
$3,279,764.54
2,089,022
$1.57
$1,671,000.00
75,763
$21,000.00
21
$540,000.00
287,134
$425,000.00
425
$1,000.00
$12,000,000.00
$18,255,000.00
12,000
18,255
$1,000.00
$1,000.00
$128,950.00
12,895
$10.00
$7,000,000.00
7,000
$1,000.00
$81,698,000.00
81,698
$1,000.00
$2,606,000.00
$7,497,000.00
2,606
7,497
$1,000.00
$1,000.00
$40,000,000.00
40,000
$1,000.00
($77,067,235.46)
$24,000,000.00
24,000
$1,000.00
21,000
$1,000.00
$25,000,000.00
25,000
$1,000.00
$5,450,000.00
5,450
$1,000.00
$5,547,600.00
6,700
$828.00
$4,000,000.00
4,000
$1,000.00
$2,561,325.00
$16,197,675.00
3,550
22,450
$721.50
$721.50
$50,000,000.00
50,000
$1,000.00
$3,250,000.00
3,250
$1,000.00
$608,170.50
$1,183,339.50
645
1,255
$942.90
$942.90
($36,829.50)
($71,660.50)
($815,000.00)
$9,185,000.00
($187,590.00)
($17,915.11)
($7,084.89)
375
($12,766,050.00)
$21,000,000.00
$248,000.00
248
$1,800,000.00
609,687
$303,000.00
303
$140,000.00
462,963
$450,000.00
138,037
$1,575,000.00
611,650
$650,000.00
302,419
$155,000.00
155
$200,000.00
200
$1,843,194.00
$3,686,388.00
277,778
555,555
$1,300,000.00
158,472
$163,000.00
163
$70,095.00
95
($1,152,400.00)
($988,675.00)
($6,252,325.00)
10,000
$918.50
$18,400,000.00
18,400
$1,000.00
$6,250,000.00
$18,750,000.00
6,250
18,750
$1,000.00
$1,000.00
$5,983,000.00
5,983
$1,000.00
$9,000,000.00
9,000
$1,000.00
$344,000.00
344
$1,398,071,000.00
1,398,071
$1,000.00
$49,100,000.00
23,562,994
1,552
$650.00
($543,200.00)
$25,700.00
78
2,770
3,206
$981.11
$981.11
($52,325.30)
($60,561.34)
$186,513.52
179
$4,205,000.00
4,205,000
$1.00
$90,000,000.00
90,000
$1,000.00
$1,200,000.00
138,490
$2,295,000.00
2,295
$1,000.00
$115,000.00
115
$6,000,000.00
6,000
$1,000.00
$6,000,000.00
6,000
$1,000.00
$300,000.00
300
406
$1,008,800.00
$2,717,674.70
$3,145,438.66
($91,850.00)
($10,088.00)
($14,912.00)
($58,631.13)
$315,461.52
374
$256,257.00
253,666
$1,750,551.00
212,188
$299,000.00
299
($6,900,000.00)
$11,836,113.40 Redeemed, in full; warrants not outstanding
$72,000,000.00
Preferred Stock w/ Exercised Warrants
(Fee)
$6,211,926.79 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Warrants
Amount
$10,272,000.00
10,272
$1,000.00
$406,000.00
$1,065,000.00
1,065
$1,000.00
$53,000.00
53
$78,158,000.00
78,158
$1,000.00
$2,200,000.00
481,664
$72,000,000.00
72,000
$1,000.00
$1,800,000.00
188,707
$10,635.00
65,323
$4,018,511.00
1,326,238
$2,892,066.00
691,882
$2,426,000.00
($1,312,000.00)
$21,500,000.00
21,500
$1,000.00
$27,000,000.00
27,000
$1,000.00
$40,000,000.00
$45,000,000.00
$131,000,000.00
40,000
45,000
131,000
$1,000.00
$1,000.00
$1,000.00
25,000
$970.00
($83,586,000.00)
$24,250,000.00
($242,500.00)
($750,000.00)
22
Footnote
11
8,14,44
11
8
8,14
8,11,14,18,36
11
12
8,14
11
8,11,14
9,48,97
8,14,45
8,14,45
8,17
9,11,36
8,133
11
8
11
8,9,17
11
8
8,11,44
8,14
11
14,15
8
8
14,15
8,14
43
8
11
8,14,45
8,14,18,44
11
8,14,44
8,14,56
8,14,44
8,18
Institution Name
INVESTORS FINANCIAL CORPORATION OF PETTIS COUNTY, INC.
JPMORGAN CHASE & CO.
JPMORGAN CHASE & CO.
JPMORGAN CHASE & CO.
KATAHDIN BANKSHARES CORP.
KATAHDIN BANKSHARES CORP.
KEYCORP
KEYCORP
KEYCORP
KIRKSVILLE BANCORP, INC.
KIRKSVILLE BANCORP, INC.
KS BANCORP, INC
KS BANCORP, INC
KS BANCORP, INC
LAFAYETTE BANCORP, INC.
LAFAYETTE BANCORP, INC.
LAFAYETTE BANCORP, INC.
LAKELAND BANCORP, INC.
LAKELAND BANCORP, INC.
LAKELAND BANCORP, INC.
LAKELAND BANCORP, INC.
LAKELAND BANCORP, INC.
LAKELAND FINANCIAL CORPORATION
LAKELAND FINANCIAL CORPORATION
LAKELAND FINANCIAL CORPORATION
LAYTON PARK FINANCIAL GROUP, INC.
LAYTON PARK FINANCIAL GROUP, INC.
LAYTON PARK FINANCIAL GROUP, INC.
LAYTON PARK FINANCIAL GROUP, INC.
LCNB CORP.
LCNB CORP.
LCNB CORP.
LEADER BANCORP, INC.
LEADER BANCORP, INC.
LEGACY BANCORP, INC.
LEGACY BANCORP, INC.
LIBERTY BANCSHARES, INC. (AR)
LIBERTY BANCSHARES, INC. (AR)
LIBERTY BANCSHARES, INC. (MO)
LIBERTY BANCSHARES, INC. (MO)
LIBERTY BANCSHARES, INC. (TX)
LIBERTY BANCSHARES, INC. (TX)
LIBERTY FINANCIAL SERVICES, INC.
LIBERTY FINANCIAL SERVICES, INC.
LIBERTY SHARES, INC.
LIBERTY SHARES, INC.
LINCOLN NATIONAL CORPORATION
LINCOLN NATIONAL CORPORATION
LINCOLN NATIONAL CORPORATION
LNB BANCORP, INC.
LNB BANCORP, INC.
LNB BANCORP, INC.
LONE STAR BANK
LONE STAR BANK
LONE STAR BANK
LONE STAR BANK
LSB CORPORATION
LSB CORPORATION
LSB CORPORATION
M&F BANCORP, INC.
M&F BANCORP, INC.
M&T BANK CORPORATION
M&T BANK CORPORATION
M&T BANK CORPORATION
M&T BANK CORPORATION
MACKINAC FINANCIAL CORPORATION
MACKINAC FINANCIAL CORPORATION
MACKINAC FINANCIAL CORPORATION
MADISON FINANCIAL CORPORATION
MADISON FINANCIAL CORPORATION
MADISON FINANCIAL CORPORATION
MAGNA BANK
MAGNA BANK
MAGNA BANK
MAGNA BANK
MAINLINE BANCORP, INC.
MAINLINE BANCORP, INC.
MAINSOURCE FINANCIAL GROUP, INC.
MAINSOURCE FINANCIAL GROUP, INC.
MAINSOURCE FINANCIAL GROUP, INC.
MANHATTAN BANCORP
MANHATTAN BANCORP
MANHATTAN BANCORP
MANHATTAN BANCSHARES, INC.
MANHATTAN BANCSHARES, INC.
MANHATTAN BANCSHARES, INC.
MANHATTAN BANCSHARES, INC.
MARINE BANK & TRUST COMPANY
MARINE BANK & TRUST COMPANY
MARINE BANK & TRUST COMPANY
MARINE BANK & TRUST COMPANY
MARINE BANK & TRUST COMPANY
MARKET BANCORPORATION, INC.
MARKET BANCORPORATION, INC.
MARKET BANCORPORATION, INC.
MARKET STREET BANCSHARES, INC.
MARKET STREET BANCSHARES, INC.
MARKET STREET BANCSHARES, INC.
MARKET STREET BANCSHARES, INC.
MARQUETTE NATIONAL CORPORATION
MARQUETTE NATIONAL CORPORATION
MARQUETTE NATIONAL CORPORATION
MARQUETTE NATIONAL CORPORATION
MARQUETTE NATIONAL CORPORATION
MARSHALL & ILSLEY CORPORATION
MARSHALL & ILSLEY CORPORATION
MARYLAND FINANCIAL BANK
MARYLAND FINANCIAL BANK
MARYLAND FINANCIAL BANK
MB FINANCIAL INC.
MB FINANCIAL INC.
MB FINANCIAL INC.
MCLEOD BANCSHARES, INC.
MCLEOD BANCSHARES, INC.
MEDALLION BANK
MEDALLION BANK
MEDALLION BANK
MERCANTILE BANK CORPORATION
MERCANTILE BANK CORPORATION
MERCANTILE BANK CORPORATION
MERCANTILE BANK CORPORATION
MERCANTILE CAPITAL CORPORATION
MERCANTILE CAPITAL CORPORATION
MERCHANTS & PLANTERS BANCSHARES, INC.
MERCHANTS & PLANTERS BANCSHARES, INC.
MERCHANTS AND MANUFACTURERS BANK CORPORATION
MERCHANTS AND MANUFACTURERS BANK CORPORATION
MERIDIAN BANK
MERIDIAN BANK
City
SEDALIA
NEW YORK
NEW YORK
NEW YORK
HOULTON
HOULTON
CLEVELAND
CLEVELAND
CLEVELAND
KIRKSVILLE
KIRKSVILLE
SMITHFIELD
SMITHFIELD
SMITHFIELD
OXFORD
OXFORD
OXFORD
OAK RIDGE
OAK RIDGE
OAK RIDGE
OAK RIDGE
OAK RIDGE
WARSAW
WARSAW
WARSAW
MILWAUKEE
MILWAUKEE
MILWAUKEE
MILWAUKEE
LEBANON
LEBANON
LEBANON
ARLINGTON
ARLINGTON
MILWAUKEE
MILWAUKEE
JONESBORO
JONESBORO
SPRINGFIELD
SPRINGFIELD
FORT WORTH
FORT WORTH
NEW ORLEANS
NEW ORLEANS
HINESVILLE
HINESVILLE
RADNOR
RADNOR
RADNOR
LORAIN
LORAIN
LORAIN
HOUSTON
HOUSTON
HOUSTON
HOUSTON
NORTH ANDOVER
NORTH ANDOVER
NORTH ANDOVER
DURHAM
DURHAM
BUFFALO
BUFFALO
BUFFALO
BUFFALO
MANISTIQUE
MANISTIQUE
MANISTIQUE
RICHMOND
RICHMOND
RICHMOND
MEMPHIS
MEMPHIS
MEMPHIS
MEMPHIS
EBENSBURG
EBENSBURG
GREENSBURG
GREENSBURG
GREENSBURG
EL SEGUNDO
EL SEGUNDO
EL SEGUNDO
MANHATTAN
MANHATTAN
MANHATTAN
MANHATTAN
VERO BEACH
VERO BEACH
VERO BEACH
VERO BEACH
VERO BEACH
NEW MARKET
NEW MARKET
NEW MARKET
MT. VERNON
MT. VERNON
MT. VERNON
MT. VERNON
CHICAGO
CHICAGO
CHICAGO
CHICAGO
CHICAGO
MILWAUKEE
MILWAUKEE
TOWSON
TOWSON
TOWSON
CHICAGO
CHICAGO
CHICAGO
SHOREWOOD
SHOREWOOD
SALT LAKE CITY
SALT LAKE CITY
SALT LAKE CITY
GRAND RAPIDS
GRAND RAPIDS
GRAND RAPIDS
GRAND RAPIDS
BOSTON
BOSTON
TOONE
TOONE
JOLIET
JOLIET
DEVON
DEVON
State
MO
NY
NY
NY
ME
ME
OH
OH
OH
MO
MO
NC
NC
NC
MS
MS
MS
NJ
NJ
NJ
NJ
NJ
IN
IN
IN
WI
WI
WI
WI
OH
OH
OH
MA
MA
WI
WI
AR
AR
MO
MO
TX
TX
LA
LA
GA
GA
PA
PA
PA
OH
OH
OH
TX
TX
TX
TX
MA
MA
MA
NC
NC
NY
NY
NY
NY
MI
MI
MI
KY
KY
KY
TN
TN
TN
TN
PA
PA
IN
IN
IN
CA
CA
CA
IL
IL
IL
IL
FL
FL
FL
FL
FL
MN
MN
MN
IL
IL
IL
IL
IL
IL
IL
IL
IL
WI
WI
MD
MD
MD
IL
IL
IL
MN
MN
UT
UT
UT
MI
MI
MI
MI
MA
MA
TN
TN
IL
IL
PA
PA
Date
10/19/2012
10/28/2008
6/17/2009
12/16/2009
1/30/2009
8/18/2011
11/14/2008
3/30/2011
4/20/2011
3/20/2009
3/19/2014
8/21/2009
11/30/2012
1/11/2013
2/20/2009
12/29/2009
9/29/2010
2/6/2009
8/4/2010
3/16/2011
2/8/2012
2/29/2012
2/27/2009
6/9/2010
11/22/2011
12/18/2009
11/29/2012
1/11/2013
3/26/2013
1/9/2009
10/21/2009
11/22/2011
12/23/2008
11/24/2010
1/30/2009
3/11/2011
1/23/2009
7/21/2011
2/13/2009
8/18/2011
12/4/2009
1/14/2015
2/6/2009
9/24/2010
2/20/2009
6/30/2016
7/10/2009
6/30/2010
9/22/2010
12/12/2008
6/19/2012
7/18/2012
2/6/2009
12/3/2014
12/4/2014
1/9/2015
12/12/2008
11/18/2009
12/16/2009
6/26/2009
8/20/2010
12/23/2008
5/18/2011
8/21/2012
12/17/2012
4/24/2009
8/29/2012
12/19/2012
3/13/2009
11/19/2013
1/6/2014
12/23/2008
11/24/2009
6/8/2011
8/18/2011
12/29/2009
3/9/2012
1/16/2009
4/3/2012
6/11/2013
12/5/2008
9/16/2009
10/14/2009
6/19/2009
12/10/2012
12/11/2012
1/11/2013
3/6/2009
7/1/2014
7/2/2014
7/3/2014
9/26/2014
2/20/2009
7/2/2014
9/26/2014
5/15/2009
8/9/2012
8/10/2012
9/11/2012
12/19/2008
8/7/2012
8/9/2012
8/10/2012
9/11/2012
11/14/2008
7/5/2011
3/27/2009
7/2/2014
9/26/2014
12/5/2008
3/14/2012
5/2/2012
11/20/2009
8/18/2011
2/27/2009
12/22/2009
7/21/2011
5/15/2009
4/4/2012
6/6/2012
7/3/2012
2/6/2009
8/4/2011
3/6/2009
9/7/2011
6/19/2009
9/8/2011
2/13/2009
12/11/2009
1
Original Investment Type
Preferred Stock w/ Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Warrants
Original Investment Amount
Outstanding Investment
Investment Status*
$0.00
$10,449,000.00
$0.00
$12,423,046.75 Redeemed, in full; warrants not outstanding
$2,500,000,000.00
$0.00
$2,867,222,222.22 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$470,000.00
$0.00
Preferred Stock w/ Exercised Warrants
$4,000,000.00
$0.00
Preferred Stock w/ Exercised Warrants
2
Total Cash Back
$25,000,000,000.00
$26,731,202,358.00 Redeemed, in full; warrants not outstanding
$622,228.44 Redeemed, in full; warrants not outstanding
$4,137,336.64 Sold, in full; warrants not outstanding
$1,998,000.00
$2,453,000.00
$0.00
$4,818,134.50 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
$59,000,000.00
$0.00
$68,260,833.33 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
$56,044,000.00
$0.00
$60,517,713.33 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$3,000,000.00
$0.00
$13,400,000.00
$0.00
$14,527,390.33 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$5,830,000.00
$0.00
$6,731,961.06 Redeemed, in full; warrants not outstanding
Preferred Stock
$5,498,000.00
$0.00
Preferred Stock w/ Exercised Warrants
$57,500,000.00
$0.00
$68,191,965.77 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$21,900,000.00
$0.00
$25,995,452.08 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$6,500,000.00
$0.00
$8,447,271.11 Redeemed, in full; warrants not outstanding
Preferred Stock
$5,645,000.00
$0.00
$6,106,008.58 Redeemed, in full; warrants not outstanding
$17,280,000.00
$0.00
$4,999,560.00 Sold, in full; warrants not outstanding
Preferred Stock w/ Warrants
$950,000,000.00
$0.00
Preferred Stock w/ Warrants
$25,223,000.00
$0.00
Preferred Stock w/ Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Warrants
Preferred Stock
$3,072,000.00
$0.00
$15,000,000.00
$0.00
$2,932,162.50 Sold, in full; warrants not outstanding
$355,079.00 Currently Not Collectible
$1,209,851,873.70 Redeemed, in full; warrants not outstanding
$26,893,046.60 Sold, in full; warrants not outstanding
$1,950,881.54 Sold, in full; warrants not outstanding
$16,260,000.00 Redeemed, in full; warrants not outstanding
$11,735,000.00
$0.00
$12,409,762.50 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
$600,000,000.00
$0.00
$718,392,161.34 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
$11,000,000.00
$0.00
$13,521,828.15 Sold, in full; warrants not outstanding
$3,370,000.00
$0.00
$3,773,495.65 Sold, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Warrants
$13,795,000.00
$0.00
$4,500,000.00
$0.00
$57,000,000.00
$0.00
$16,146,467.87 Redeemed, in full; warrants not outstanding
$5,263,187.50 Redeemed, in full; warrants not outstanding
$62,949,121.28 Sold, in full; warrants not outstanding
Preferred Stock w/ Warrants
$1,700,000.00
$0.00
$1,829,711.12 Redeemed, in full; warrants not outstanding
Subordinated Debentures w/ Exercised Warrants
$2,639,000.00
$0.00
$3,438,793.11 Sold, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$3,000,000.00
$0.00
$2,296,213.00 Sold, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$2,060,000.00
$0.00
$2,714,911.32 Sold, in full; warrants not outstanding
Subordinated Debentures w/ Exercised Warrants
$20,300,000.00
$0.00
$24,429,245.84 Sold, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$35,500,000.00
$0.00
$33,835,943.42 Sold, in full; warrants not outstanding
Preferred Stock w/ Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Warrants
$1,715,000,000.00
$0.00
$1,944,772,916.66 Redeemed, in full; warrants not outstanding
$1,700,000.00
$0.00
$817,240.50 Sold, in full; warrants not outstanding
$196,000,000.00
$0.00
$229,613,072.00 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$6,000,000.00
$0.00
$6,870,433.33 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$11,800,000.00
$9,698,000.00
$0.00
$24,460,674.81 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
$21,000,000.00
$0.00
$31,631,120.56 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$3,500,000.00
$0.00
$4,150,815.03 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$1,881,000.00
$0.00
$2,231,560.00 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$3,510,000.00
$0.00
$4,110,668.47 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$6,200,000.00
$6,335,000.00
$0.00
$13,582,165.84 Sold, in full; warrants not outstanding
Amount
(Fee)
4
Shares
Avg. Price
$25,000,000,000.00
2,500,000
$10,000.00
$10,449,000.00
10,449
$1,000.00
$2,500,000,000.00
25,000
$100,000.00
470
$1,000.00
4,000
$827.00
$470,000.00
$3,308,000.00
($25,000.00)
$4,451,000.00
4,451
$1,000.00
$20,000,000.00
$20,000,000.00
$19,000,000.00
20,000
20,000
19,000
$1,000.00
$1,000.00
$1,000.00
$56,044,000.00
56,044
$1,000.00
3,000
$790.31
$2,370,930.00
($23,709.29)
($1,290.71)
$13,400,000.00
13,400
$1,000.00
$5,830,000.00
5,830
$1,000.00
(Realized Loss) / (Write-off)
($4,000,000.00)
Gain
5
Wt Amount
$936,063,469.11
($692,000.00)
($629,070.00)
Wt Shares
88,401,697
$522,000.00
522
$70,000,000.00
35,244,361
$24,000.00
24
$140,400.00
200
$100,000.00
100
$2,800,000.00
997,050
$877,557.00
198,269
$104,375.00
150
$602,557.00
217,063
$292,000.00
292
($5,498,000.00)
$57,500,000.00
57,500
$1,000.00
$2,875,000.00
2,875
$21,900,000.00
21,900
$1,000.00
$1,095,000.00
1,095
$6,500,000.00
6,500
$1,000.00
$196,000.00
196
$5,645,000.00
5,645
$1,000.00
$3,600,000.00
480,000
$7.50
$950,000,000.00
950,000
$1,000.00
$213,671,319.20
13,049,451
25,223
$869.17
($3,299,925.09)
$860,326.00
561,343
1,925
1,147
$621.25
$621.25
($729,093.75)
($434,426.25)
$67,401.54
154
$15,000,000.00
15,000
$1,000.00
$560,000.00
209,497
$11,735,000.00
11,735
$1,000.00
370,000
230,000
$1,000.00
$1,000.00
$31,838,761.34
1,218,522
11,000
$958.09
$1,300,000.00
398,734
3,370
$1,022.61
$182,878.45
169
$3,455,000.00
$3,455,000.00
$6,885,000.00
3,455
3,455
6,885
$1,000.00
$1,000.00
$1,000.00
$690,000.00
690
$4,500,000.00
4,500
$1,000.00
$225,000.00
225
57,000
$931.11
$1,512,177.00
571,906
$1,700,000.00
1,700
$1,000.00
$63,363.90
29,480
$2,586,404.73
2,639,000
$0.98
($52,595.27)
$11,385.02
$95,959.50
14,000
118,000
2,246
722
32
$670.00
$670.00
$670.00
($741,180.00)
($238,260.00)
($10,560.00)
$55,870.00
$19,126.67
$503.33
111
38
1
$21,923,074.91
$1,195,906.25
$712,573.75
($328,846.12)
($25,000.00)
$370,000,000.00
$230,000,000.00
$10,538,990.00
$3,370,000.00
$53,073,270.00
$1,504,820.00
$483,740.00
$21,440.00
$2,060,000.00
($158,084.85)
($25,000.00)
($796,099.05)
($25,000.00)
($25,000.00)
($13,680,000.00)
($461,010.00)
$76,195.70
($3,926,730.00)
2,060
$1,210.03
$108,471.52
103
19,931,000
369,000
$0.90
$0.90
($2,011,037.90)
($37,232.10)
$727,225.54
$97,505.10
895,000
120,000
3,514
8,198
23,788
$720.25
$720.25
$720.25
($983,041.50)
($2,293,390.50)
($6,654,693.00)
$142,974.56
$1,054,743.77
$252,452.23
175
1,291
309
1,715,000
$1,000.00
$3,250,000.00
13,815,789
1,700
$310.00
$1,775.00
85
$196,000,000.00
196,000
$1,000.00
$1,518,072.00
506,024
$6,000,000.00
600
$10,000.00
$300,000.00
30
$21,498,000.00
21,498
$1,000.00
$645,000.00
645
$10,500,000.00
$10,500,000.00
10,500
10,500
$1,000.00
$1,000.00
$7,465,100.00
616,438
$3,500,000.00
3,500
$1,000.00
$175,000.00
175
$1,881,000.00
1,881
$1,000.00
$94,000.00
94
$3,510,000.00
3,510
$1,000.00
$176,000.00
176
$17,919,962.10
$331,767.90
$2,530,958.50
$5,904,609.50
$17,133,307.00
($25,000.00)
($182,517.30)
($255,688.75)
$1,715,000,000.00
$527,000.00
($25,000.00)
$432,661.80
($1,173,000.00)
23
Footnote
8,14
8,42
8,18
11
12
8,11,14
44
8
22,27,97
8,11,14
11
8,11,14
8
9,11
9,11,36
8,11,14
98
12,16
8,14,45
8,14,44
11
8,11,14
8,11,14
8,14
8,11,14
45
8
11,59
8,14
11,16
11,14,15
8,42
8,119
11,14,15
44
8,11,14
8,14,44
11
11
8,11,14,18
109
11
8,14,44
8,14
8,11,14
Institution Name
MERIDIAN BANK
MERIDIAN BANK
METRO CITY BANK
METRO CITY BANK
METRO CITY BANK
METRO CITY BANK
METROCORP BANCSHARES, INC.
METROCORP BANCSHARES, INC.
METROCORP BANCSHARES, INC.
METROPOLITAN BANK GROUP, INC.
METROPOLITAN BANK GROUP, INC.
METROPOLITAN CAPITAL BANCORP, INC.
METROPOLITAN CAPITAL BANCORP, INC.
METROPOLITAN CAPITAL BANCORP, INC.
METROPOLITAN CAPITAL BANCORP, INC.
MID PENN BANCORP, INC./MID PENN BANK
MID PENN BANCORP, INC./MID PENN BANK
MID PENN BANCORP, INC./MID PENN BANK
MIDDLEBURG FINANCIAL CORPORATION
MIDDLEBURG FINANCIAL CORPORATION
MIDDLEBURG FINANCIAL CORPORATION
MIDLAND STATES BANCORP, INC.
MIDLAND STATES BANCORP, INC.
MIDSOUTH BANCORP, INC.
MIDSOUTH BANCORP, INC.
MIDSOUTH BANCORP, INC.
MIDTOWN BANK & TRUST COMPANY
MIDTOWN BANK & TRUST COMPANY
MIDTOWN BANK & TRUST COMPANY
MIDWEST BANC HOLDINGS, INC.
MIDWEST BANC HOLDINGS, INC.
MIDWEST REGIONAL BANCORP, INC. / THE BANK OF OTTERVILLE
MIDWEST REGIONAL BANCORP, INC. / THE BANK OF OTTERVILLE
MIDWESTONE FINANCIAL GROUP, INC.
MIDWESTONE FINANCIAL GROUP, INC.
MIDWESTONE FINANCIAL GROUP, INC.
MID-WISCONSIN FINANCIAL SERVICES, INC.
MID-WISCONSIN FINANCIAL SERVICES, INC.
MILLENNIUM BANCORP, INC.
MILLENNIUM BANCORP, INC.
MISSION COMMUNITY BANCORP
MISSION COMMUNITY BANCORP
MISSION VALLEY BANCORP
MISSION VALLEY BANCORP
MONADNOCK BANCORP, INC.
MONADNOCK BANCORP, INC.
MONARCH COMMUNITY BANCORP, INC.
MONARCH COMMUNITY BANCORP, INC.
MONARCH FINANCIAL HOLDINGS, INC.
MONARCH FINANCIAL HOLDINGS, INC.
MONARCH FINANCIAL HOLDINGS, INC.
MONEYTREE CORPORATION
MONEYTREE CORPORATION
MONUMENT BANK
MONUMENT BANK
MORGAN STANLEY
MORGAN STANLEY
MORGAN STANLEY
MORRILL BANCSHARES, INC.
MORRILL BANCSHARES, INC.
MOSCOW BANCSHARES, INC.
MOSCOW BANCSHARES, INC.
MOSCOW BANCSHARES, INC.
MOUNTAIN VALLEY BANCSHARES, INC.
MOUNTAIN VALLEY BANCSHARES, INC.
MOUNTAIN VALLEY BANCSHARES, INC.
MS FINANCIAL, INC.
MS FINANCIAL, INC.
MUTUALFIRST FINANCIAL, INC.
MUTUALFIRST FINANCIAL, INC.
MUTUALFIRST FINANCIAL, INC.
NAPLES BANCORP, INC.
NAPLES BANCORP, INC.
NARA BANCORP, INC. / BBCN BANCORP, INC.
NARA BANCORP, INC. / BBCN BANCORP, INC.
NARA BANCORP, INC. / BBCN BANCORP, INC.
NATIONAL BANCSHARES, INC.
NATIONAL BANCSHARES, INC.
NATIONAL BANCSHARES, INC.
NATIONAL BANCSHARES, INC.
NATIONAL PENN BANCSHARES, INC.
NATIONAL PENN BANCSHARES, INC.
NATIONAL PENN BANCSHARES, INC.
NATIONWIDE BANKSHARES, INC.
NATIONWIDE BANKSHARES, INC.
NC BANCORP, INC. / METROPOLITAN BANK GROUP, INC.
NC BANCORP, INC. / METROPOLITAN BANK GROUP, INC.
NCAL BANCORP
NCAL BANCORP
NEMO BANCSHARES, INC.
NEMO BANCSHARES, INC.
NEW HAMPSHIRE THRIFT BANCSHARES, INC.
NEW HAMPSHIRE THRIFT BANCSHARES, INC.
NEW HAMPSHIRE THRIFT BANCSHARES, INC.
NEW YORK PRIVATE BANK & TRUST CORPORATION
NEW YORK PRIVATE BANK & TRUST CORPORATION
NEWBRIDGE BANCORP
NEWBRIDGE BANCORP
NEWBRIDGE BANCORP
NEWBRIDGE BANCORP
NEWBRIDGE BANCORP
NICOLET BANKSHARES, INC.
NICOLET BANKSHARES, INC.
NORTH CENTRAL BANCSHARES, INC.
NORTH CENTRAL BANCSHARES, INC.
NORTH CENTRAL BANCSHARES, INC.
NORTHEAST BANCORP
NORTHEAST BANCORP
NORTHEAST BANCORP
NORTHERN STATE BANK / FIRST COMMERCE BANK
NORTHERN STATE BANK / FIRST COMMERCE BANK
NORTHERN STATE BANK / FIRST COMMERCE BANK
NORTHERN STATES FINANCIAL CORPORATION
NORTHERN STATES FINANCIAL CORPORATION
NORTHERN TRUST CORPORATION
NORTHERN TRUST CORPORATION
NORTHERN TRUST CORPORATION
NORTHWAY FINANCIAL, INC.
NORTHWAY FINANCIAL, INC.
NORTHWEST BANCORPORATION, INC.
NORTHWEST BANCORPORATION, INC.
NORTHWEST BANCORPORATION, INC.
NORTHWEST BANCORPORATION, INC.
NORTHWEST COMMERCIAL BANK
NORTHWEST COMMERCIAL BANK
OAK RIDGE FINANCIAL SERVICES, INC.
OAK RIDGE FINANCIAL SERVICES, INC.
OAK RIDGE FINANCIAL SERVICES, INC.
OAK RIDGE FINANCIAL SERVICES, INC.
City
DEVON
DEVON
DORAVILLE
DORAVILLE
DORAVILLE
DORAVILLE
HOUSTON
HOUSTON
HOUSTON
CHICAGO
CHICAGO
CHICAGO
CHICAGO
CHICAGO
CHICAGO
MILLERSBURG
MILLERSBURG
MILLERSBURG
MIDDLEBURG
MIDDLEBURG
MIDDLEBURG
EFFINGHAM
EFFINGHAM
LAFAYETTE
LAFAYETTE
LAFAYETTE
ATLANTA
ATLANTA
ATLANTA
MELROSE PARK
MELROSE PARK
FESTUS
FESTUS
IOWA CITY
IOWA CITY
IOWA CITY
MEDFORD
MEDFORD
EDWARDS
EDWARDS
SAN LUIS OBISPO
SAN LUIS OBISPO
SUN VALLEY
SUN VALLEY
PETERBOROUGH
PETERBOROUGH
COLDWATER
COLDWATER
CHESAPEAKE
CHESAPEAKE
CHESAPEAKE
LENOIR CITY
LENOIR CITY
BETHESDA
BETHESDA
NEW YORK
NEW YORK
NEW YORK
MERRIAM
MERRIAM
MOSCOW
MOSCOW
MOSCOW
CLEVELAND
CLEVELAND
CLEVELAND
KINGWOOD
KINGWOOD
MUNCIE
MUNCIE
MUNCIE
NAPLES
NAPLES
LOS ANGELES
LOS ANGELES
LOS ANGELES
BETTENDORF
BETTENDORF
BETTENDORF
BETTENDORF
BOYERTOWN
BOYERTOWN
BOYERTOWN
WEST POINT
WEST POINT
CHICAGO
CHICAGO
LOS ANGELES
LOS ANGELES
MADISON
MADISON
NEWPORT
NEWPORT
NEWPORT
NEW YORK
NEW YORK
GREENSBORO
GREENSBORO
GREENSBORO
GREENSBORO
GREENSBORO
GREEN BAY
GREEN BAY
FORT DODGE
FORT DODGE
FORT DODGE
LEWISTON
LEWISTON
LEWISTON
CLOSTER
CLOSTER
CLOSTER
WAUKEGAN
WAUKEGAN
CHICAGO
CHICAGO
CHICAGO
BERLIN
BERLIN
SPOKANE
SPOKANE
SPOKANE
SPOKANE
LAKEWOOD
LAKEWOOD
OAK RIDGE
OAK RIDGE
OAK RIDGE
OAK RIDGE
State
PA
PA
GA
GA
GA
GA
TX
TX
TX
IL
IL
IL
IL
IL
IL
PA
PA
PA
VA
VA
VA
IL
IL
LA
LA
LA
GA
GA
GA
IL
IL
MO
MO
IA
IA
IA
WI
WI
CO
CO
CA
CA
CA
CA
NH
NH
MI
MI
VA
VA
VA
TN
TN
MD
MD
NY
NY
NY
KS
KS
TN
TN
TN
GA
GA
GA
TX
TX
IN
IN
IN
FL
FL
CA
CA
CA
IA
IA
IA
IA
PA
PA
PA
NE
NE
IL
IL
CA
CA
MO
MO
NH
NH
NH
NY
NY
NC
NC
NC
NC
NC
WI
WI
IA
IA
IA
ME
ME
ME
NJ
NJ
NJ
IL
IL
IL
IL
IL
NH
NH
WA
WA
WA
WA
WA
WA
NC
NC
NC
NC
Date
3/17/2014
4/25/2014
1/30/2009
10/29/2012
11/1/2012
1/11/2013
1/16/2009
7/3/2012
6/11/2013
6/26/2009
6/28/2013
4/10/2009
11/20/2009
6/29/2015
8/6/2015
12/19/2008
12/28/2012
1/23/2013
1/30/2009
12/23/2009
11/18/2011
1/23/2009
12/23/2009
1/9/2009
8/25/2011
11/22/2011
2/27/2009
11/19/2013
1/6/2014
12/5/2008
5/14/2010
2/13/2009
11/10/2009
2/6/2009
7/6/2011
7/27/2011
2/20/2009
4/26/2013
4/3/2009
8/14/2012
1/9/2009
12/28/2011
12/23/2008
8/20/2010
12/19/2008
12/28/2012
2/6/2009
11/15/2013
12/19/2008
12/23/2009
2/10/2010
3/13/2009
9/15/2011
1/30/2009
8/11/2011
10/28/2008
6/17/2009
8/12/2009
1/16/2009
7/20/2011
1/23/2009
4/25/2012
12/5/2012
9/25/2009
7/22/2013
9/12/2013
3/27/2009
10/19/2011
12/23/2008
8/25/2011
9/28/2011
3/27/2009
7/12/2012
11/21/2008
6/27/2012
8/8/2012
2/27/2009
2/19/2013
2/20/2013
3/26/2013
12/12/2008
3/16/2011
4/13/2011
12/11/2009
12/29/2010
6/26/2009
6/28/2013
12/19/2008
12/10/2014
6/19/2009
4/24/2013
1/16/2009
8/25/2011
2/15/2012
1/9/2009
7/24/2013
12/12/2008
4/26/2013
4/29/2013
5/15/2013
5/31/2013
12/23/2008
9/1/2011
1/9/2009
12/14/2011
1/11/2012
12/12/2008
11/28/2012
12/28/2012
5/15/2009
12/18/2009
3/28/2012
2/20/2009
4/30/2014
11/14/2008
6/17/2009
8/26/2009
1/30/2009
9/15/2011
2/13/2009
3/8/2013
3/11/2013
4/9/2013
2/13/2009
1/9/2013
1/30/2009
10/31/2012
1/11/2013
2/6/2013
1
Original Investment Type
Preferred Stock w/ Exercised Warrants
Original Investment Amount
Outstanding Investment
2
Total Cash Back
Investment Status*
$7,700,000.00
$0.00
$8,806,297.80 Sold, in full; warrants not outstanding
Preferred Stock w/ Warrants
$45,000,000.00
$0.00
$53,406,628.25 Sold, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$71,526,000.00
$0.00
$27,172,726.72 Sold, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$2,040,000.00
$2,348,000.00
$0.00
$5,663,197.28 Sold, in full; warrants not outstanding
$10,000,000.00
$0.00
Preferred Stock w/ Warrants
$22,000,000.00
$0.00
$23,287,945.11 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$10,189,000.00
$0.00
$11,206,989.34 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
$20,000,000.00
$0.00
$22,834,334.78 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Warrants
$5,222,000.00
$0.00
$84,784,000.00
$0.00
$3,520,137.55 Sold, in full; warrants not outstanding
$700,000.00
$0.00
$763,294.14 Redeemed, in full; warrants not outstanding
$16,000,000.00
$0.00
$18,933,333.33 Redeemed, in full; warrants not outstanding
$10,000,000.00
$0.00
Preferred Stock w/ Exercised Warrants
$7,260,000.00
$0.00
$4,296,561.73 Sold, in full; warrants not outstanding
Preferred Stock
$5,116,000.00
$0.00
$5,875,583.89 Redeemed, in full; warrants not outstanding
Preferred Stock
$5,500,000.00
$0.00
$5,956,041.66 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$1,834,000.00
$0.00
$2,339,348.60 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
$6,785,000.00
$0.00
$4,808,121.00 Sold, in full; warrants not outstanding
Preferred Stock w/ Warrants
$14,700,000.00
$0.00
$15,703,166.66 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$9,516,000.00
$0.00
$11,291,481.00 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$4,734,000.00
$0.00
$5,623,958.50 Redeemed, in full; warrants not outstanding
$10,000,000,000.00
$0.00
$11,268,055,555.11 Redeemed, in full; warrants not outstanding
$12,844,226.31 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$13,000,000.00
$0.00
$15,429,122.22 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$6,216,000.00
$0.00
$7,803,377.38 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$3,300,000.00
$0.00
$4,069,975.55 Sold, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$7,723,000.00
$0.00
$9,206,289.90 Redeemed, in full; warrants not outstanding
$32,382,000.00
$0.00
$37,608,789.00 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
Preferred Stock w/ Exercised Warrants
$4,000,000.00
$0.00
Preferred Stock w/ Warrants
$67,000,000.00
$0.00
$81,249,317.20 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$24,664,000.00
$0.00
$21,471,087.90 Sold, in full; warrants not outstanding
$150,000,000.00
$0.00
$167,958,333.33 Redeemed, in full; warrants not outstanding
Subordinated Debentures w/ Exercised Warrants
$2,000,000.00
$0.00
$2,276,190.00 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
$6,880,000.00
$0.00
$2,613,714.23 Sold, in full; warrants not outstanding
Preferred Stock w/ Warrants
Preferred Stock w/ Exercised Warrants
$956,066.67 Sold, in full; warrants not outstanding
$10,000,000.00
$0.00
$5,211,027.78 Sold, in full; warrants not outstanding
$2,330,000.00
$0.00
$3,199,347.39 Redeemed, in full; warrants not outstanding
$10,000,000.00
$0.00
$12,041,266.67 Redeemed, in full; warrants not outstanding
$267,274,000.00
$0.00
$346,794,005.83 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
$52,372,000.00
$0.00
$70,087,060.35 Sold, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$14,964,000.00
$0.00
$17,904,842.66 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
$10,200,000.00
$0.00
$12,294,583.33 Redeemed, in full; warrants not outstanding
Subordinated Debentures w/ Exercised Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Exercised Warrants
$44,152,650.00
Preferred Stock w/ Warrants
$4,227,000.00
$0.00
$5,159,181.33 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
$1,341,000.00
$1,230,000.00
$0.00
$2,987,782.33 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
$17,211,000.00
$0.00
Preferred Stock w/ Warrants
$1,576,000,000.00
$0.00
$1,709,623,333.35 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$10,000,000.00
$0.00
$11,930,624.67 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$10,500,000.00
$0.00
$11,891,847.50 Sold, in full; warrants not outstanding
$6,442,172.50 Sold, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$1,992,000.00
$0.00
$2,380,393.00 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
$7,700,000.00
$0.00
$8,592,336.00 Sold, in full; warrants not outstanding
(Fee)
4
($103,281.52)
($69,307.70)
($662,289.75)
$23,718,541.95
Shares
12,535
Avg. Price
$823.95
(Realized Loss) / (Write-off)
($2,206,847.65)
29
7,671
$900.10
$900.10
($2,897.10)
($766,332.90)
45,000
$981.17
($847,350.00)
71,526
$331.61
($47,807,458.05)
($252,344.76)
4,388
$942.49
$10,000,000.00
10,000
$1,000.00
$22,000,000.00
22,000
$1,000.00
$10,189,000.00
10,189
$1,000.00
$20,000,000.00
20,000
$1,000.00
5,222
$600.00
$3,133,200.00
$824,288.89 Exited bankruptcy/Receivership
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Warrants
$26,102.90
$6,904,667.10
$4,135,655.24
$12,070,979.20 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
Preferred Stock w/ Exercised Warrants
Amount
$10,328,152.35
($33,333.34)
($25,000.00)
Gain
5
($2,088,800.00)
Wt Amount
$262,399.50
Wt Shares
310
$369,948.00
385
$2,087,368.00
771,429
$84,445.94
102
$58,479.20
73,099
$301,001.00
104,101
$509,000.00
509
$206,557.00
104,384
$136,833.05
261
($84,784,000.00)
$700,000.00
700
$1,000.00
$16,000,000.00
16,000
$1,000.00
$10,000,000.00
10,000
$1,000.00
$2,904,000.00
7,260
$400.00
$5,116,000.00
5,116
$1,000.00
$35,000.00
35
$1,000,000.00
198,675
$500,000.00
500
$92,000.00
92
($4,356,000.00)
$5,500,000.00
5,500
$1,000.00
$1,834,000.00
1,834
$1,000.00
$4,545,202.00
2,272,601
$2.00
$14,700,000.00
14,700
$1,000.00
$260,000.00
132,353
$9,516,000.00
9,516
$1,000.00
$476,000.00
476
$4,734,000.00
4,734
$1,000.00
$237,000.00
237
$10,000,000,000.00
10,000,000
$1,000.00
$950,000,000.00
65,245,759
$13,000,000.00
13,000
$1,000.00
$650,000.00
650
$1,100,000.00
$5,116,000.00
1,100
5,116
$1,000.00
$1,000.00
$311,000.00
311
3,300
$990.00
$140,034.65
165
$7,723,000.00
7,723
$1,000.00
$32,382,000.00
32,382
$1,000.00
$3,267,000.00
($25,000.00)
($2,239,798.00)
($33,000.00)
$600,000.00
4,000
$150.00
$67,000,000.00
67,000
$1,000.00
$2,438,182.50
$16,064,996.94
3,250
21,414
$750.21
$750.21
$150,000,000.00
150,000
$1,000.00
$2,000,000.00
2,000,000
$1.00
$2,281,458.05
6,880
$331.61
($4,598,541.95)
$3,900,000.00
10,000
$390.00
($6,100,000.00)
($185,031.79)
$2,330,000.00
2,330,000
$1.00
$10,000,000.00
10,000
$1,000.00
$267,274,000.00
267,274
$1,000.00
$2,709,121.50
$48,641,624.50
2,763
49,609
$980.50
$980.50
$14,964,000.00
14,964
$1,000.00
$10,200,000.00
10,200
$1,000.00
$4,227,000.00
4,227
$1,000.00
$2,571,000.00
2,571
$1,000.00
$6,023,850.00
20,079,500
$0.30
$1,576,000,000.00
1,576,000
$1,000.00
$10,000,000.00
10,000
$1,000.00
$2,000,000.00
$8,500,000.00
2,000
8,500
$1,032.11
$1,032.11
1,992
$1,000.00
7,700
$921.50
($108,371.55)
$7,095,550.00
($70,955.50)
386
$900,194.00
625,135
$2,189,317.20
521,266
$342,841.95
$502,606.30
500
733
($3,400,000.00)
($811,817.50)
($5,349,003.06)
($53,878.50)
($967,375.50)
($513,507.46)
$1,992,000.00
$386,000.00
$1,000,000.00
735,294
$100,000.00
100,000
$117,000.00
117,000
$737,100.00
184,275
$13,364,000.00
13,364
$7,778,782.65
2,567,255
$748,000.00
748
$600,000.00
99,157
$95,000.00
67,958
$67,000.00
67
$87,000,000.00
3,824,624
$500,000.00
500
$587,634.55
525
$100,000.00
100
$122,887.50
163,830
($11,187,150.00)
$64,220.00
$272,935.00
($604,450.00)
24
Footnote
45
12,16
8
11
11
8,14
8,51,97
8,9
15,17,129,135,139
8
11,14,15
11,35
8
8,14,45
8,26
8
85
8,14
11
60
8,11,21
8,126
44
8,14
8
8,11,14
11
8,14,44
11
8,14,56
8,14
8,14
8
8,17,45
9,11,36
8,46,97
8,69
11
8,14,44
15,17
Institution Name
OAK VALLEY BANCORP
OAK VALLEY BANCORP
OAK VALLEY BANCORP
OCEANFIRST FINANCIAL CORP.
OCEANFIRST FINANCIAL CORP.
OCEANFIRST FINANCIAL CORP.
OJAI COMMUNITY BANK
OJAI COMMUNITY BANK
OLD LINE BANCSHARES, INC.
OLD LINE BANCSHARES, INC.
OLD LINE BANCSHARES, INC.
OLD NATIONAL BANCORP
OLD NATIONAL BANCORP
OLD NATIONAL BANCORP
OLD SECOND BANCORP, INC.
OLD SECOND BANCORP, INC.
OLD SECOND BANCORP, INC.
OLD SECOND BANCORP, INC.
OLD SECOND BANCORP, INC.
OLD SECOND BANCORP, INC.
OMEGA CAPITAL CORP.
OMEGA CAPITAL CORP.
OMEGA CAPITAL CORP.
OMEGA CAPITAL CORP.
ONE GEORGIA BANK
ONE GEORGIA BANK
ONE UNITED BANK
ONEFINANCIAL CORPORATION
OREGON BANCORP, INC.
OREGON BANCORP, INC.
OREGON BANCORP, INC.
OREGON BANCORP, INC.
OSB FINANCIAL SERVICES, INC.
OSB FINANCIAL SERVICES, INC.
PACIFIC CAPITAL BANCORP
PACIFIC CAPITAL BANCORP
PACIFIC CAPITAL BANCORP
PACIFIC CITY FINANCIAL CORPORATION
PACIFIC CITY FINANCIAL CORPORATION
PACIFIC CITY FINANCIAL CORPORATION
PACIFIC COAST BANKERS' BANCSHARES
PACIFIC COAST BANKERS' BANCSHARES
PACIFIC COAST NATIONAL BANCORP
PACIFIC COAST NATIONAL BANCORP
PACIFIC COMMERCE BANK
PACIFIC COMMERCE BANK
PACIFIC COMMERCE BANK
PACIFIC INTERNATIONAL BANCORP / BBCN BANCORP, INC.
PACIFIC INTERNATIONAL BANCORP / BBCN BANCORP, INC.
PARK BANCORPORATION, INC.
PARK BANCORPORATION, INC.
PARK BANCORPORATION, INC.
PARK BANCORPORATION, INC.
PARK BANCORPORATION, INC.
PARK NATIONAL CORPORATION
PARK NATIONAL CORPORATION
PARK NATIONAL CORPORATION
PARKE BANCORP, INC.
PARKE BANCORP, INC.
PARKE BANCORP, INC.
PARKE BANCORP, INC.
PARKE BANCORP, INC.
PARKVALE FINANCIAL CORPORATION / F.N.B. CORPORATION
PARKVALE FINANCIAL CORPORATION / F.N.B. CORPORATION
PARKVALE FINANCIAL CORPORATION / F.N.B. CORPORATION
PASCACK BANCORP, INC.
PASCACK BANCORP, INC.
PATAPSCO BANCORP, INC.
PATAPSCO BANCORP, INC.
PATHFINDER BANCORP, INC.
PATHFINDER BANCORP, INC.
PATHFINDER BANCORP, INC.
PATHWAY BANCORP
PATHWAY BANCORP
PATHWAY BANCORP
PATRIOT BANCSHARES, INC.
PATRIOT BANCSHARES, INC.
PATRIOT BANCSHARES, INC.
PATRIOT BANCSHARES, INC.
PATTERSON BANCSHARES, INC.
PATTERSON BANCSHARES, INC.
PATTERSON BANCSHARES, INC.
PATTERSON BANCSHARES, INC.
PATTERSON BANCSHARES, INC.
PATTERSON BANCSHARES, INC.
PEAPACK-GLADSTONE FINANCIAL CORPORATION
PEAPACK-GLADSTONE FINANCIAL CORPORATION
PEAPACK-GLADSTONE FINANCIAL CORPORATION
PEAPACK-GLADSTONE FINANCIAL CORPORATION
PEAPACK-GLADSTONE FINANCIAL CORPORATION
PENN LIBERTY FINANCIAL CORP.
PENN LIBERTY FINANCIAL CORP.
PEOPLES BANCORP (OH)
PEOPLES BANCORP (OH)
PEOPLES BANCORP (OH)
PEOPLES BANCORP (OH)
PEOPLES BANCORP (WA)
PEOPLES BANCORP (WA)
PEOPLES BANCORP OF NORTH CAROLINA, INC.
PEOPLES BANCORP OF NORTH CAROLINA, INC.
PEOPLES BANCORP OF NORTH CAROLINA, INC.
PEOPLES BANCORPORATION, INC.
PEOPLES BANCORPORATION, INC.
PEOPLES BANCSHARES OF TN, INC.
PEOPLES BANCSHARES OF TN, INC.
PEOPLES BANCSHARES OF TN, INC.
PEOPLESSOUTH BANCSHARES, INC.
PEOPLESSOUTH BANCSHARES, INC.
PFSB BANCORPORATION, INC. / PIGEON FALLS STATE BANK
PFSB BANCORPORATION, INC. / PIGEON FALLS STATE BANK
PGB HOLDINGS, INC.
PGB HOLDINGS, INC.
PIERCE COUNTY BANCORP
PIERCE COUNTY BANCORP
PINNACLE BANK HOLDING COMPANY, INC.
PINNACLE FINANCIAL PARTNERS, INC.
PINNACLE FINANCIAL PARTNERS, INC.
PINNACLE FINANCIAL PARTNERS, INC.
PINNACLE FINANCIAL PARTNERS, INC.
PLAINS CAPITAL CORPORATION
PLAINS CAPITAL CORPORATION
PLATO HOLDINGS INC.
PLATO HOLDINGS INC.
PLATO HOLDINGS INC.
PLATO HOLDINGS INC.
PLUMAS BANCORP
PLUMAS BANCORP
PLUMAS BANCORP
PLUMAS BANCORP
City
OAKDALE
OAKDALE
OAKDALE
TOMS RIVER
TOMS RIVER
TOMS RIVER
OJAI
OJAI
BOWIE
BOWIE
BOWIE
EVANSVILLE
EVANSVILLE
EVANSVILLE
AURORA
AURORA
AURORA
AURORA
AURORA
AURORA
LAKEWOOD
LAKEWOOD
LAKEWOOD
LAKEWOOD
ATLANTA
ATLANTA
BOSTON
LITTLE ROCK
SALEM
SALEM
SALEM
SALEM
ORANGE
ORANGE
SANTA BARBARA
SANTA BARBARA
SANTA BARBARA
LOS ANGELES
LOS ANGELES
LOS ANGELES
SAN FRANCISCO
SAN FRANCISCO
SAN CLEMENTE
SAN CLEMENTE
LOS ANGELES
LOS ANGELES
LOS ANGELES
SEATTLE
SEATTLE
MADISON
MADISON
MADISON
MADISON
MADISON
NEWARK
NEWARK
NEWARK
SEWELL
SEWELL
SEWELL
SEWELL
SEWELL
MONROEVILLE
MONROEVILLE
MONROEVILLE
WESTWOOD
WESTWOOD
DUNDALK
DUNDALK
OSWEGO
OSWEGO
OSWEGO
CAIRO
CAIRO
CAIRO
HOUSTON
HOUSTON
HOUSTON
HOUSTON
PATTERSON
PATTERSON
PATTERSON
PATTERSON
PATTERSON
PATTERSON
GLADSTONE
GLADSTONE
GLADSTONE
GLADSTONE
GLADSTONE
WAYNE
WAYNE
MARIETTA
MARIETTA
MARIETTA
MARIETTA
LYNDEN
LYNDEN
NEWTON
NEWTON
NEWTON
EASLEY
EASLEY
MADISONVILLE
MADISONVILLE
MADISONVILLE
COLQUITT
COLQUITT
PIGEON FALLS
PIGEON FALLS
CHICAGO
CHICAGO
TACOMA
TACOMA
ORANGE CITY
NASHVILLE
NASHVILLE
NASHVILLE
NASHVILLE
DALLAS
DALLAS
SAINT PAUL
SAINT PAUL
SAINT PAUL
SAINT PAUL
QUINCY
QUINCY
QUINCY
QUINCY
State
CA
CA
CA
NJ
NJ
NJ
CA
CA
MD
MD
MD
IN
IN
IN
IL
IL
IL
IL
IL
IL
CO
CO
CO
CO
GA
GA
MA
AR
OR
OR
OR
OR
TX
TX
CA
CA
CA
CA
CA
CA
CA
CA
CA
CA
CA
CA
CA
WA
WA
WI
WI
WI
WI
WI
OH
OH
OH
NJ
NJ
NJ
NJ
NJ
PA
PA
PA
NJ
NJ
MD
MD
NY
NY
NY
NE
NE
NE
TX
TX
TX
TX
LA
LA
LA
LA
LA
LA
NJ
NJ
NJ
NJ
NJ
PA
PA
OH
OH
OH
OH
WA
WA
NC
NC
NC
SC
SC
TN
TN
TN
GA
GA
WI
WI
IL
IL
WA
WA
FL
TN
TN
TN
TN
TX
TX
MN
MN
MN
MN
CA
CA
CA
CA
Date
12/5/2008
8/11/2011
9/28/2011
1/16/2009
12/30/2009
2/3/2010
1/30/2009
9/25/2013
12/5/2008
7/15/2009
9/2/2009
12/12/2008
3/31/2009
5/8/2009
1/16/2009
3/11/2013
3/26/2013
3/27/2013
4/9/2013
6/11/2013
4/17/2009
7/19/2013
7/22/2013
9/12/2013
5/8/2009
7/15/2011
12/19/2008
6/5/2009
4/24/2009
10/18/2013
10/21/2013
1/6/2014
5/1/2009
10/5/2011
11/21/2008
2/23/2011
11/30/2012
12/19/2008
11/19/2013
1/6/2014
12/23/2008
7/28/2011
1/16/2009
2/11/2010
12/23/2008
2/10/2014
3/19/2014
12/12/2008
2/15/2013
3/6/2009
8/7/2012
8/9/2012
8/10/2012
9/11/2012
12/23/2008
4/25/2012
5/2/2012
1/30/2009
11/28/2012
11/29/2012
1/11/2013
6/12/2013
12/23/2008
1/3/2012
5/27/2015
2/6/2009
10/19/2011
12/19/2008
8/28/2015
9/11/2009
9/1/2011
2/1/2012
3/27/2009
6/24/2013
7/26/2013
12/19/2008
4/11/2014
4/14/2014
7/18/2014
4/17/2009
3/7/2012
8/22/2012
12/5/2012
5/8/2013
6/5/2013
1/9/2009
1/6/2010
3/2/2011
1/11/2012
4/4/2012
4/17/2009
9/1/2011
1/30/2009
2/2/2011
12/28/2011
2/15/2012
2/13/2009
8/3/2011
12/23/2008
7/3/2012
8/8/2012
4/24/2009
4/24/2012
3/20/2009
10/31/2012
1/11/2013
3/6/2009
9/18/2013
9/11/2009
8/25/2011
2/6/2009
8/13/2010
1/23/2009
11/5/2010
3/6/2009
12/12/2008
12/28/2011
6/20/2012
7/18/2012
12/19/2008
9/27/2011
7/17/2009
4/26/2013
4/29/2013
5/31/2013
1/30/2009
4/29/2013
5/22/2013
5/31/2013
1
Original Investment Type
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Original Investment Amount
$13,500,000.00
$38,263,000.00
Outstanding Investment
$0.00
$0.00
2
Total Cash Back
Investment Status*
$15,871,250.00 Redeemed, in full; warrants not outstanding
$40,521,918.61 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$2,080,000.00
$0.00
$2,654,758.89 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
$7,000,000.00
$0.00
$7,438,888.89 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
$100,000,000.00
$0.00
Preferred Stock w/ Warrants
$73,000,000.00
$0.00
$31,423,238.49 Sold, in full; warrants not outstanding
$2,816,000.00
$0.00
$3,403,603.15 Sold, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
$5,500,000.00
$0.00
Preferred Stock
Subordinated Debentures w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
$12,063,000.00
$17,300,000.00
$3,216,000.00
$12,063,000.00
$17,300,000.00
$0.00
Subordinated Debentures w/ Exercised Warrants
$6,100,000.00
$0.00
$180,634,000.00
$0.00
Preferred Stock w/ Warrants
Preferred Stock w/ Exercised Warrants
$16,200,000.00
$0.00
$102,713,888.89 Redeemed, in full; warrants not outstanding
$93,823.33 Full investment outstanding; warrants not outstanding
$7,662,990.59 Full investment outstanding; warrants outstanding
$4,116,801.92 Sold, in full; warrants not outstanding
$7,662,314.53 Redeemed, in full; warrants not outstanding
$168,483,804.20 Sold, in full; warrants not outstanding
$21,003,597.96 Sold, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$11,600,000.00
$0.00
$4,120,000.00
$0.00
$13,821,963.89 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$4,060,000.00
$0.00
$2,991,670.80 Sold, in full; warrants not outstanding
Preferred Stock w/ Warrants
$6,500,000.00
$0.00
$7,937,744.97 Redeemed, in full; warrants outstanding
$23,200,000.00
$0.00
$18,087.94 Exited bankruptcy/Receivership
$22,020,064.10 Sold, in full; warrants not outstanding
Preferred Stock w/ Warrants
$100,000,000.00
$0.00
Preferred Stock w/ Warrants
$16,288,000.00
$0.00
$119,536,844.44 Redeemed, in full; warrants not outstanding
$16,365,554.76 Sold, in full; warrants not outstanding
Preferred Stock w/ Warrants
$31,762,000.00
$0.00
$42,596,063.59 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$3,756,000.00
$0.00
$4,497,312.67 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$6,000,000.00
$0.00
$9,260,824.26 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
$6,771,000.00
$0.00
$7,976,328.84 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$3,727,000.00
$0.00
$4,628,862.77 Sold, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$26,038,000.00
$0.00
$33,824,567.35 Sold, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$3,690,000.00
$0.00
$4,692,022.77 Redeemed, in full; warrants not outstanding
$28,685,000.00
$0.00
$32,075,739.67 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
Preferred Stock w/ Exercised Warrants
$9,960,000.00
$0.00
$11,745,689.33 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
$39,000,000.00
$0.00
$44,926,557.48 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$18,000,000.00
$0.00
$21,325,250.00 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
$25,054,000.00
$0.00
$27,877,966.16 Sold, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$12,660,000.00
$0.00
Preferred Stock w/ Exercised Warrants
$3,900,000.00
$0.00
$15,362,909.75 Redeemed, in full; warrants not outstanding
$3,809,874.42 Sold, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$12,325,000.00
$0.00
$15,985,994.66 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$1,500,000.00
$0.00
$1,730,162.66 Redeemed, in full; warrants not outstanding
Preferred Stock
$3,000,000.00
$0.00
$3,227,916.67 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$6,800,000.00
$0.00
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Warrants
$4,389,000.00
$95,000,000.00
$4,389,000.00
$0.00
Preferred Stock w/ Exercised Warrants
$87,631,000.00
$0.00
$2,500,000.00
$0.00
Subordinated Debentures w/ Exercised Warrants
Preferred Stock w/ Warrants
$11,949,000.00
$0.00
$207,947.78 Currently Not Collectible
$284,999.00 Full investment outstanding; warrants outstanding
$111,918,194.45 Redeemed, in full; warrants not outstanding
$105,252,939.77 Redeemed, in full; warrants not outstanding
$3,103,618.40 Sold, in full; warrants not outstanding
$13,764,140.41 Sold, in full; warrants not outstanding
(Fee)
4
Shares
Avg. Price
13,500
$1,000.00
$38,263,000.00
38,263
$1,000.00
$2,080,000.00
2,080
$1,000.00
$7,000,000.00
7,000
$1,000.00
$100,000,000.00
100,000
$1,000.00
$24,684,870.00
$452,424.00
$668,079.44
70,028
1,200
1,772
$352.50
$377.02
$377.02
1,239
1,577
$1,142.90
$1,142.90
$1,239,000.00
$1,577,000.00
$0.00 Exited bankruptcy/Receivership
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Amount
$13,500,000.00
($258,053.73)
($25,000.00)
(Realized Loss) / (Write-off)
Gain
5
Wt Amount
Wt Shares
$560,000.00
350,346
$430,797.00
190,427
$104,000.00
104
$225,000.00
141,892
$1,200,000.00
813,008
$106,891.00
815,339
$159,886.25
141
$9,459.13
$128,988.07
11
150
$305,000.00
305,000
$393,120.78
15,120
$1,156,636.50
810
$580,000.00
580
($1,540,039.20)
$109,487.50
203
($619,346.00)
($1,495,494.00)
($4,143,360.00)
$88,059.01
$482,779.69
$325,200.40
114
625
421
$2,842,400.00
227,376
$1,650,288.00
438,906
$6,025,649.70
819,640
188
($45,343,130.00)
($747,576.00)
($1,103,920.56)
$177,053.10
$225,353.30
($5,500,000.00)
$100,000.00
$3,116,000.00
($25,000.00)
100
3,116
$1,000.00
$1,000.00
$6,100,000.00
6,100,000
$1.00
$14.75
$165,983,272.00
1
3,608,332
$29.50
$46.00
16,200
$1,215.17
11,600
$1,000.00
$16,200,000.00
($196,857.54)
$11,600,000.00
($10.28)
($14,650,702.97)
$3,485,754.00
($4,120,000.00)
$2,519,960.80
4,060
$620.68
6,500
$1,000.00
2,296
5,544
15,360
$730.25
$730.25
$730.25
$100,000,000.00
100,000
$1,000.00
$394,072.28
$11,318,791.40
548
15,740
$719.11
$719.11
$31,762,000.00
31,762
$1,000.00
$3,756,000.00
3,756
$1,000.00
$188,000.00
$6,000,000.00
6,000
$1,000.00
$300,000.00
300
$6,771,000.00
6,771
$1,000.00
$537,633.00
154,354
($25,000.00)
$6,500,000.00
$1,676,654.00
$4,048,506.00
$11,216,640.00
$3,727,000.00
($169,418.00)
($117,128.64)
($153,927.72)
($4,421,208.60)
3,727
$1,167.01
$622,446.27
$226,565.00
186
12,000
14,038
$1,142.03
$1,142.03
$1,704,360.00
$1,993,817.14
$1,035,834.25
$645,781.95
802
500
$250,000.00
$250,000.00
$250,000.00
$500,000.00
$2,440,000.00
250
250
250
500
2,440
$1,000.00
$1,000.00
$1,000.00
$1,000.00
$1,000.00
$185,000.00
185
$7,172,000.00
$7,172,000.00
$14,341,000.00
7,172
7,172
14,341
$1,000.00
$1,000.00
$1,000.00
$110,000.00
150,296
$498,000.00
498
$1,200,724.15
313,505
$12,000,000.00
$14,038,000.00
($25,000.00)
($297,361.77)
$9,960,000.00
9,960
$1,000.00
$21,000,000.00
$18,000,000.00
21,000
18,000
$1,000.00
$1,000.00
$18,000,000.00
18,000
$1,000.00
25,054
$933.36
12,660
$1,000.00
3,900
$755.00
$12,325,000.00
12,325
$1,500,000.00
1,500
$3,000,000.00
3,000
$1,000.00
$23,750,000.00
$71,250,000.00
23,750
71,250
$1,000.00
$1,000.00
$87,631,000.00
87,631
$1,000.00
$120,000.00
$2,380,000.00
120,000
2,380,000
$1.00
$1.00
$180.00
$3,570.00
11,949
$1,091.11
$1,088,673.39
$23,384,401.44
($350,766.02)
$12,660,000.00
$2,944,500.00
($25,000.00)
($1,669,598.56)
$900,000.00
900
$425,000.00
357,234
$633,000.00
633
$122,225.00
195
$1,000.00
$616,000.00
616
$1,000.00
$71,000.00
71
$755,000.00
267,455
($955,500.00)
($6,800,000.00)
($25,000.00)
$11,949,000.00
($130,376.73)
$4,382,000.00
4,382
$90,582.47
107,000
$234,500.00
237,712
25
Footnote
20
8
9,15,36
8,22,97
14,15
8
80
8,17
75,97
8,18
12
8,17,44
88
107
8,11,14
8,14,44
44
8
8,17
8,14,44
8,14,44
8,114
8,14,44
8,17,62
8,14
11
8
8,14
8,116
11,14,15
15
8,95,97
11
8
44
11,44
8,14
8,14,44
11
8,14,44
8,14
Institution Name
POPULAR, INC.
POPULAR, INC.
POPULAR, INC.
PORTER BANCORP, INC.(PBI) LOUISVILLE, KY
PORTER BANCORP, INC.(PBI) LOUISVILLE, KY
PORTER BANCORP, INC.(PBI) LOUISVILLE, KY
PORTER BANCORP, INC.(PBI) LOUISVILLE, KY
PRAIRIE STAR BANCSHARES, INC.
PRAIRIE STAR BANCSHARES, INC.
PRAIRIE STAR BANCSHARES, INC.
PREMIER BANCORP, INC.
PREMIER BANCORP, INC.
PREMIER BANK HOLDING COMPANY
PREMIER BANK HOLDING COMPANY
PREMIER FINANCIAL BANCORP, INC.
PREMIER FINANCIAL BANCORP, INC.
PREMIER FINANCIAL BANCORP, INC.
PREMIER FINANCIAL BANCORP, INC.
PREMIER FINANCIAL BANCORP, INC.
PREMIER FINANCIAL BANCORP, INC.
PREMIER FINANCIAL CORP.
PREMIER FINANCIAL CORP.
PREMIER FINANCIAL CORP.
PREMIER SERVICE BANK
PREMIER SERVICE BANK
PREMIERWEST BANCORP
PREMIERWEST BANCORP
PRESIDIO BANK
PRESIDIO BANK
PRESIDIO BANK
PRESIDIO BANK
PRINCETON NATIONAL BANCORP, INC.
PRINCETON NATIONAL BANCORP, INC.
PRIVATE BANCORPORATION, INC.
PRIVATE BANCORPORATION, INC.
PRIVATE BANCORPORATION, INC.
PRIVATEBANCORP, INC.
PRIVATEBANCORP, INC.
PRIVATEBANCORP, INC.
PROVIDENCE BANK
PROVIDENCE BANK
PROVIDENT BANCSHARES CORP. / M&T BANK CORPORATION
PROVIDENT BANCSHARES CORP. / M&T BANK CORPORATION
PROVIDENT BANCSHARES CORP. / M&T BANK CORPORATION
PROVIDENT BANCSHARES CORP. / M&T BANK CORPORATION
PROVIDENT COMMUNITY BANCSHARES, INC.
PROVIDENT COMMUNITY BANCSHARES, INC.
PSB FINANCIAL CORPORATION
PSB FINANCIAL CORPORATION
PUGET SOUND BANK
PUGET SOUND BANK
PULASKI FINANCIAL CORP.
PULASKI FINANCIAL CORP.
PULASKI FINANCIAL CORP.
QCR HOLDINGS, INC.
QCR HOLDINGS, INC.
QCR HOLDINGS, INC.
RANDOLPH BANK & TRUST COMPANY
RANDOLPH BANK & TRUST COMPANY
RCB FINANCIAL CORPORATION
RCB FINANCIAL CORPORATION
RCB FINANCIAL CORPORATION
REDWOOD CAPITAL BANCORP
REDWOOD CAPITAL BANCORP
REDWOOD FINANCIAL, INC.
REDWOOD FINANCIAL, INC.
REGENT BANCORP, INC.
REGENT BANCORP, INC.
REGENT CAPITAL CORPORATION, INC. / REGENT BANK
REGENT CAPITAL CORPORATION, INC. / REGENT BANK
REGENTS BANCSHARES, INC.
REGENTS BANCSHARES, INC.
REGIONAL BANKSHARES, INC.
REGIONAL BANKSHARES, INC.
REGIONAL BANKSHARES, INC.
REGIONAL BANKSHARES, INC.
REGIONAL BANKSHARES, INC.
REGIONS FINANCIAL CORPORATION
REGIONS FINANCIAL CORPORATION
REGIONS FINANCIAL CORPORATION
RELIANCE BANCSHARES, INC.
RELIANCE BANCSHARES, INC.
RELIANCE BANCSHARES, INC.
RIDGESTONE FINANCIAL SERVICES, INC.
RIDGESTONE FINANCIAL SERVICES, INC.
RIDGESTONE FINANCIAL SERVICES, INC.
RISING SUN BANCORP
RISING SUN BANCORP
RIVER VALLEY BANCORPORATION, INC.
RIVER VALLEY BANCORPORATION, INC.
RIVER VALLEY BANCORPORATION, INC.
RIVERSIDE BANCSHARES, INC.
RIVERSIDE BANCSHARES, INC.
ROGERS BANCSHARES, INC.
ROGERS BANCSHARES, INC.
ROYAL BANCSHARES OF PENNSYLVANIA, INC.
ROYAL BANCSHARES OF PENNSYLVANIA, INC.
ROYAL BANCSHARES OF PENNSYLVANIA, INC.
ROYAL BANCSHARES OF PENNSYLVANIA, INC.
S&T BANCORP, INC.
S&T BANCORP, INC.
S&T BANCORP, INC.
SAIGON NATIONAL BANK / CALIFORNIA INTERNATIONAL BANK, N.A.
SAIGON NATIONAL BANK / CALIFORNIA INTERNATIONAL BANK, N.A.
SALISBURY BANCORP, INC.
SALISBURY BANCORP, INC.
SALISBURY BANCORP, INC.
SANDY SPRING BANCORP, INC.
SANDY SPRING BANCORP, INC.
SANDY SPRING BANCORP, INC.
SANDY SPRING BANCORP, INC.
SANTA CLARA VALLEY BANK, N.A
SANTA CLARA VALLEY BANK, N.A
SANTA CLARA VALLEY BANK, N.A
SANTA LUCIA BANCORP
SANTA LUCIA BANCORP
SBT BANCORP, INC.
SBT BANCORP, INC.
SCBT FINANCIAL CORPORATION
SCBT FINANCIAL CORPORATION
SCBT FINANCIAL CORPORATION
SEACOAST BANKING CORPORATION OF FLORIDA
SEACOAST BANKING CORPORATION OF FLORIDA
SEACOAST BANKING CORPORATION OF FLORIDA
SEACOAST COMMERCE BANK
SEACOAST COMMERCE BANK
SECURITY BANCSHARES OF PULASKI COUNTY, INC.
SECURITY BANCSHARES OF PULASKI COUNTY, INC.
SECURITY BANCSHARES OF PULASKI COUNTY, INC.
City
SAN JUAN
SAN JUAN
SAN JUAN
LOUISVILLE
LOUISVILLE
LOUISVILLE
LOUISVILLE
OLATHE
OLATHE
OLATHE
WILMETTE
WILMETTE
TALLAHASSEE
TALLAHASSEE
HUNTINGTON
HUNTINGTON
HUNTINGTON
HUNTINGTON
HUNTINGTON
HUNTINGTON
DUBUQUE
DUBUQUE
DUBUQUE
RIVERSIDE
RIVERSIDE
MEDFORD
MEDFORD
SAN FRANCISCO
SAN FRANCISCO
SAN FRANCISCO
SAN FRANCISCO
PRINCETON
PRINCETON
MINNEAPOLIS
MINNEAPOLIS
MINNEAPOLIS
CHICAGO
CHICAGO
CHICAGO
ROCKY MOUNT
ROCKY MOUNT
BALTIMORE
BALTIMORE
BALTIMORE
BALTIMORE
ROCK HILL
ROCK HILL
MANY
MANY
BELLEVUE
BELLEVUE
CREVE COEUR
CREVE COEUR
CREVE COEUR
MOLINE
MOLINE
MOLINE
ASHEBORO
ASHEBORO
ROME
ROME
ROME
EUREKA
EUREKA
REDWOOD FALLS
REDWOOD FALLS
DAVIE
DAVIE
NOWATA
NOWATA
VANCOUVER
VANCOUVER
HARTSVILLE
HARTSVILLE
HARTSVILLE
HARTSVILLE
HARTSVILLE
BIRMINGHAM
BIRMINGHAM
BIRMINGHAM
FRONTENAC
FRONTENAC
FRONTENAC
BROOKFIELD
BROOKFIELD
BROOKFIELD
RISING SUN
RISING SUN
WAUSAU
WAUSAU
WAUSAU
LITTLE ROCK
LITTLE ROCK
LITTLE ROCK
LITTLE ROCK
NARBERTH
NARBERTH
NARBERTH
NARBERTH
INDIANA
INDIANA
INDIANA
WESTMINSTER
WESTMINSTER
LAKEVILLE
LAKEVILLE
LAKEVILLE
OLNEY
OLNEY
OLNEY
OLNEY
SANTA PAULA
SANTA PAULA
SANTA PAULA
ATASCADERO
ATASCADERO
SIMSBURY
SIMSBURY
COLUMBIA
COLUMBIA
COLUMBIA
STUART
STUART
STUART
CHULA VISTA
CHULA VISTA
WAYNESVILLE
WAYNESVILLE
WAYNESVILLE
State
PR
PR
PR
KY
KY
KY
KY
KS
KS
KS
IL
IL
FL
FL
WV
WV
WV
WV
WV
WV
IA
IA
IA
CA
CA
OR
OR
CA
CA
CA
CA
IL
IL
MN
MN
MN
IL
IL
IL
NC
NC
MD
MD
MD
MD
SC
SC
LA
LA
WA
WA
MO
MO
MO
IL
IL
IL
NC
NC
GA
GA
GA
CA
CA
MN
MN
FL
FL
OK
OK
WA
WA
SC
SC
SC
SC
SC
AL
AL
AL
MO
MO
MO
WI
WI
WI
MD
MD
WI
WI
WI
AR
AR
AR
AR
PA
PA
PA
PA
PA
PA
PA
CA
CA
CT
CT
CT
MD
MD
MD
MD
CA
CA
CA
CA
CA
CT
CT
SC
SC
SC
FL
FL
FL
CA
CA
MO
MO
MO
Date
12/5/2008
7/2/2014
7/23/2014
11/21/2008
12/3/2014
12/4/2014
1/9/2015
4/3/2009
6/29/2015
8/6/2015
5/8/2009
8/13/2010
3/20/2009
8/14/2012
10/2/2009
8/8/2012
8/9/2012
8/10/2012
9/11/2012
5/6/2015
5/22/2009
7/22/2013
9/12/2013
2/20/2009
1/31/2014
2/13/2009
4/9/2013
11/20/2009
12/10/2012
12/11/2012
1/11/2013
1/23/2009
11/2/2012
2/27/2009
12/29/2009
6/25/2014
1/30/2009
10/24/2012
11/14/2012
10/2/2009
9/15/2011
11/14/2008
8/21/2012
3/20/2013
3/25/2013
3/13/2009
4/30/2014
2/27/2009
9/29/2010
1/16/2009
8/11/2011
1/16/2009
7/3/2012
8/8/2012
2/13/2009
9/15/2011
11/16/2011
10/30/2009
9/30/2013
6/19/2009
9/25/2013
10/29/2013
1/16/2009
7/21/2011
1/9/2009
8/18/2011
3/6/2009
10/17/2014
2/27/2009
7/21/2011
10/23/2009
1/26/2012
2/13/2009
11/8/2012
11/9/2012
1/11/2013
3/26/2013
11/14/2008
4/4/2012
5/2/2012
2/13/2009
9/25/2013
10/29/2013
2/27/2009
2/20/2013
3/26/2013
1/9/2009
10/17/2014
6/12/2009
6/6/2012
5/15/2013
5/15/2009
5/14/2014
1/30/2009
7/5/2013
2/20/2009
7/1/2014
7/2/2014
9/26/2014
1/16/2009
12/7/2011
6/11/2013
12/23/2008
4/5/2017
3/13/2009
8/25/2011
11/2/2011
12/5/2008
7/21/2010
12/15/2010
2/23/2011
2/13/2009
3/8/2013
4/9/2013
12/19/2008
10/21/2011
3/27/2009
8/11/2011
1/16/2009
5/20/2009
6/24/2009
12/19/2008
4/3/2012
5/30/2012
12/23/2008
9/1/2011
2/13/2009
12/10/2012
12/11/2012
1
Original Investment Type
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Original Investment Amount
$935,000,000.00
Outstanding Investment
$0.00
2
Total Cash Back
Investment Status*
$1,220,280,000.00 Redeemed, in full; warrants not outstanding
$35,000,000.00
$0.00
$8,233,333.33 Sold, in full; warrants outstanding
Preferred Stock w/ Exercised Warrants
$2,800,000.00
$0.00
$3,596,579.20 Sold, in full; warrants not outstanding
Subordinated Debentures
$6,784,000.00
$0.00
$7,444,215.12 Redeemed, in full; warrants not outstanding
$9,500,000.00
$0.00
$22,252,000.00
$0.00
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Warrants
Subordinated Debentures w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
$6,349,000.00
$0.00
$467,412.50 Exited bankruptcy/Receivership
$28,727,240.29 Sold, in full; warrants not outstanding
$8,778,669.11 Sold, in full; warrants not outstanding
$4,000,000.00
$0.00
$4,300,522.22 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
$41,400,000.00
$0.00
$42,446,500.00 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$10,800,000.00
$0.00
$11,077,694.89 Sold, in full; warrants not outstanding
Preferred Stock w/ Warrants
$25,083,000.00
$0.00
$4,960,000.00
$3,262,000.00
$0.00
$243,815,000.00
$0.00
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Warrants
$4,000,000.00
$0.00
$151,500,000.00
$0.00
$290,552,132.92 Redeemed, in full; warrants not outstanding
$4,596,311.80 Redeemed, in full; warrants not outstanding
$199,100,113.41 Sold, in full; warrants not outstanding
$9,266,000.00
$0.00
$9,270,000.00
$0.00
$10,536,802.00 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$4,500,000.00
$0.00
$5,355,156.75 Redeemed, in full; warrants not outstanding
$32,538,000.00
$0.00
$5,639,391.00 Sold, in full; warrants not outstanding
$35,195,847.13 Sold, in full; warrants not outstanding
$38,237,000.00
$0.00
$44,286,567.33 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$6,229,000.00
$0.00
$7,190,593.33 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$8,900,000.00
$0.00
$9,139,863.61 Sold, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$3,800,000.00
$0.00
$4,510,626.39 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$2,995,000.00
$0.00
$3,570,810.92 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$9,982,000.00
$0.00
$8,755,019.00 Sold, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$2,655,000.00
$0.00
$3,135,328.00 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$12,700,000.00
$0.00
$14,594,338.99 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$1,500,000.00
$0.00
Preferred Stock w/ Warrants
Preferred Stock w/ Exercised Warrants
$3,500,000,000.00
$0.00
$40,000,000.00
$0.00
$1,718,159.50 Sold, in full; warrants not outstanding
$4,138,055,555.55 Redeemed, in full; warrants not outstanding
$45,820,950.80 Sold, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$10,900,000.00
$0.00
Preferred Stock w/ Exercised Warrants
$5,983,000.00
$0.00
Subordinated Debentures w/ Exercised Warrants
$15,000,000.00
$0.00
$19,928,275.00 Redeemed, in full; warrants not outstanding
Subordinated Debentures w/ Exercised Warrants
$1,100,000.00
$0.00
$1,622,708.57 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$25,000,000.00
$0.00
Preferred Stock w/ Warrants
$30,407,000.00
$0.00
Preferred Stock w/ Warrants
$108,676,000.00
$0.00
$124,916,099.34 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$1,549,000.00
$0.00
$1,646,325.00 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
$8,816,000.00
$0.00
$10,100,960.44 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
Preferred Stock w/ Exercised Warrants
$83,094,000.00
$0.00
$2,900,000.00
$0.00
$9,630,106.93 Sold, in full; warrants not outstanding
$738,021.00 Currently Not Collectible
$36,696,518.83 Sold, in full; warrants outstanding
$95,137,868.33 Redeemed, in full; warrants not outstanding
$2,697,208.51 Sold, in full; warrants not outstanding
Preferred Stock w/ Warrants
$4,000,000.00
$0.00
$3,131,111.11 Sold, in full; warrants not outstanding
$4,000,000.00
$0.00
$4,717,144.78 Redeemed, in full; warrants not outstanding
$64,779,000.00
$0.00
$67,294,638.84 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
Shares
Avg. Price
$1,000.00
$2,693,800.00
$806,200.00
26,938
8,062
$100.00
$100.00
$2,800,000.00
($50,000.00)
2,800
$1,187.61
$6,784,000.00
6,784,000
$1.00
$1,678,618.89
$8,575,102.51
$9,795,998.16
1,863
9,517
10,872
$901.03
$901.03
$901.03
6,349,000
$1.24
$4,000,000.00
4,000
$1,000.00
$41,400,000.00
41,400
$1,000.00
310
10,490
$847.21
$847.21
$8,222,000.00
8,222
$1,000.00
$243,815,000.00
243,815
$1,000.00
($25,000.00)
$50,000,000.00
$0.00
Preferred Stock w/ Exercised Warrants
$1,800,000.00
$0.00
$49,045,470.38 Sold, in full; warrants not outstanding
$2,153,780.00 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$2,152,000.00
$0.00
$1,983,756.24 Sold, in full; warrants not outstanding
(Realized Loss) / (Write-off)
Gain
5
Wt Amount
Wt Shares
$3,000,000.00
2,093,284
$164,018.20
140
($24,244,200.00)
($7,255,800.00)
$525,308.00
($9,500,000.00)
$6,349,000.00
$262,635.10
$8,887,232.90
($200,497.20)
($78,563.80)
($91,498.68)
($184,381.11)
($941,897.49)
($1,076,001.84)
$1,507,379.58
($47,364.90)
($1,602,767.10)
$5,675,000.00
636,378
$478,590.75
317,000
$200,000.00
200
$83,086.12
$195,295.20
97
228
($25,083,000.00)
$248,000.00
248
$1,225,000.00
645,013
$175,000.00
175
464
$4,000,000.00
4,000
$1,000.00
$151,500,000.00
151,500
$1,000.00
$5,096,300.00
9,266
$550.00
$9,270,000.00
9,270
$1,000.00
$464,000.00
$4,500,000.00
4,500
$1,000.00
$225,000.00
225
32,538
$888.00
$1,100,000.00
778,421
$38,237,000.00
38,237
$1,000.00
$1,100,000.00
521,888
$6,229,000.00
6,229
$1,000.00
8,900
$907.11
$28,893,744.00
$8,073,279.00
($433,406.16)
($80,732.79)
$3,800,000.00
$71.62
$19,047,005.12
($4,169,700.00)
($3,644,256.00)
($826,721.00)
$311,000.00
311
$253,383.25
268
$190,000.00
190
$150,000.00
150
3,800
$1,000.00
$2,995,000.00
2,995
$1,000.00
$7,970,737.50
1,449,225
$5.50
$2,655,000.00
2,655
$1,000.00
$133,000.00
133
$12,700,000.00
12,700
$1,000.00
$381,000.00
381
267
1,233
$925.00
$925.00
$50,000.00
75
$45,000,000.00
48,253,677
$2,199,799.80
2,000
$476,206.83
545
$750,000.00
750,000
$55,000.00
55,000
$527,361.00
517,012
$246,975.00
$1,140,525.00
($13,875.00)
($11,125.00)
$3,500,000,000.00
3,500,000
$1,000.00
$40,000,000.00
40,000
$1,004.90
10,900
$822.60
$8,966,340.00
$195,637.00 Currently Not Collectible
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Warrants
4
$10,836,280.71 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Warrants
(Fee)
935,000
$2,271,405.00 Currently Not Collectible
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Amount
$935,000,000.00
($401,960.00)
($89,663.40)
($2,011,262.50)
($20,025.00)
($92,475.00)
$196,000.00
($1,933,660.00)
($5,983,000.00)
$10,500,000.00
$4,500,000.00
10,500,000
4,500,000
$1.00
$1.00
$1,100,000.00
1,100,000
$1.00
($25,000,000.00)
$9,000,000.00
$21,407,000.00
9,000
21,407
$1,207.11
$1,207.11
$108,676,000.00
108,676
$1,000.00
$1,549,000.00
1,549
$1,000.00
$8,816,000.00
8,816
$1,000.00
$41,547,000.00
$41,547,000.00
41,547
41,547
$1,000.00
$1,000.00
2,900
$850.01
($434,971.00)
4,000
$700.00
($1,200,000.00)
$2,465,029.00
($367,045.94)
($25,000.00)
$2,800,000.00
$4,000,000.00
4,000
$1,000.00
$64,779,000.00
64,779
$1,000.00
$41,020,000.00
2,000
$20,510.00
$1,800,000.00
($615,300.00)
1,800
$1,000.00
$174,537.72
$1,315,959.00
252
1,900
$692.61
$692.61
$1,863,990.00
$4,433,603.77
($8,980,000.00)
($77,462.28)
($584,041.00)
$77,000.00
77
$205,000.00
57,671
$4,450,000.00
651,547
$98,251.45
145
$200,000.00
200
$1,400,000.00
303,083
$55,000.00
589,623
$90,000.00
90
$69,186.80
108
26
Footnote
8,14,44
8,14,44
8,14,36,111
11,36
8,14,44
14,15
11
11,14,15
11
11
8,32,97,132
8,14
8,14
9,11,36
8,14,45
8,14,44
44
8
11
8,14,44
8
8
8,14,74
11,61
15,17,44
8,11
8,11,36
12,16
11,14,15
15,17,45
11
11
11
31
44
8,11,14
8,14
15,123
44
11
11
24,49,97
8,11,14
11
Institution Name
SECURITY BANCSHARES OF PULASKI COUNTY, INC.
SECURITY BANCSHARES OF PULASKI COUNTY, INC.
SECURITY BUSINESS BANCORP
SECURITY BUSINESS BANCORP
SECURITY CALIFORNIA BANCORP
SECURITY CALIFORNIA BANCORP
SECURITY CAPITAL CORPORATION
SECURITY CAPITAL CORPORATION
SECURITY FEDERAL CORPORATION
SECURITY FEDERAL CORPORATION
SECURITY FEDERAL CORPORATION
SECURITY STATE BANCSHARES, INC.
SECURITY STATE BANCSHARES, INC.
SECURITY STATE BANK HOLDING COMPANY
SECURITY STATE BANK HOLDING COMPANY
SECURITY STATE BANK HOLDING COMPANY
SEVERN BANCORP, INC.
SEVERN BANCORP, INC.
SEVERN BANCORP, INC.
SEVERN BANCORP, INC.
SHORE BANCSHARES, INC.
SHORE BANCSHARES, INC.
SHORE BANCSHARES, INC.
SIGNATURE BANCSHARES, INC.
SIGNATURE BANCSHARES, INC.
SIGNATURE BANK
SIGNATURE BANK
SIGNATURE BANK
SOMERSET HILLS BANCORP
SOMERSET HILLS BANCORP
SOMERSET HILLS BANCORP
SONOMA VALLEY BANCORP
SONOMA VALLEY BANCORP
SOUND BANKING COMPANY
SOUND BANKING COMPANY
SOUND BANKING COMPANY
SOUTH FINANCIAL GROUP, INC./ CAROLINA FIRST BANK
SOUTH FINANCIAL GROUP, INC./ CAROLINA FIRST BANK
SOUTHCREST FINANCIAL GROUP, INC.
SOUTHCREST FINANCIAL GROUP, INC.
SOUTHCREST FINANCIAL GROUP, INC.
SOUTHCREST FINANCIAL GROUP, INC.
SOUTHERN BANCORP, INC.
SOUTHERN BANCORP, INC.
SOUTHERN COMMUNITY FINANCIAL CORP.
SOUTHERN COMMUNITY FINANCIAL CORP.
SOUTHERN FIRST BANCSHARES, INC.
SOUTHERN FIRST BANCSHARES, INC.
SOUTHERN FIRST BANCSHARES, INC.
SOUTHERN HERITAGE BANCSHARES, INC.
SOUTHERN HERITAGE BANCSHARES, INC.
SOUTHERN ILLINOIS BANCORP, INC.
SOUTHERN ILLINOIS BANCORP, INC.
SOUTHERN MISSOURI BANCORP, INC.
SOUTHERN MISSOURI BANCORP, INC.
SOUTHERN MISSOURI BANCORP, INC.
SOUTHFIRST BANCSHARES, INC.
SOUTHFIRST BANCSHARES, INC.
SOUTHFIRST BANCSHARES, INC.
SOUTHWEST BANCORP, INC.
SOUTHWEST BANCORP, INC.
SOUTHWEST BANCORP, INC.
SOVEREIGN BANCSHARES, INC.
SOVEREIGN BANCSHARES, INC.
SPIRIT BANKCORP, INC.
SPIRIT BANKCORP, INC.
SPIRIT BANKCORP, INC.
ST. JOHNS BANCSHARES, INC.
STANDARD BANCSHARES, INC.
STANDARD BANCSHARES, INC.
STATE BANCORP, INC. / VALLEY NATIONAL BANCORP
STATE BANCORP, INC. / VALLEY NATIONAL BANCORP
STATE BANCORP, INC. / VALLEY NATIONAL BANCORP
STATE BANK OF BARTLEY, THE
STATE BANK OF BARTLEY, THE
STATE BANKSHARES, INC.
STATE BANKSHARES, INC.
STATE BANKSHARES, INC.
STATE CAPITAL CORP.
STATE CAPITAL CORP.
STATE STREET CORPORATION
STATE STREET CORPORATION
STATE STREET CORPORATION
STEARNS FINANCIAL SERVICES, INC.
STEARNS FINANCIAL SERVICES, INC.
STEELE STREET BANK CORPORATION
STEELE STREET BANK CORPORATION
STELLARONE CORPORATION
STELLARONE CORPORATION
STELLARONE CORPORATION
STELLARONE CORPORATION
STERLING BANCORP
STERLING BANCORP
STERLING BANCORP
STERLING BANCSHARES, INC.
STERLING BANCSHARES, INC.
STERLING BANCSHARES, INC.
STERLING FINANCIAL CORPORATION
STERLING FINANCIAL CORPORATION
STERLING FINANCIAL CORPORATION
STEWARDSHIP FINANCIAL CORPORATION
STEWARDSHIP FINANCIAL CORPORATION
STEWARDSHIP FINANCIAL CORPORATION
STOCKMENS FINANCIAL CORPORATION
STOCKMENS FINANCIAL CORPORATION
STOCKMENS FINANCIAL CORPORATION
STONEBRIDGE FINANCIAL CORP.
STONEBRIDGE FINANCIAL CORP.
STONEBRIDGE FINANCIAL CORP.
STONEBRIDGE FINANCIAL CORP.
SUBURBAN ILLINOIS BANCORP, INC.
SUBURBAN ILLINOIS BANCORP, INC.
SUMMIT STATE BANK
SUMMIT STATE BANK
SUMMIT STATE BANK
SUN BANCORP, INC.
SUN BANCORP, INC.
SUN BANCORP, INC.
SUNTRUST BANKS, INC.
SUNTRUST BANKS, INC.
SUNTRUST BANKS, INC.
SUNTRUST BANKS, INC.
SUPERIOR BANCORP INC.
SUPERIOR BANCORP INC.
SURREY BANCORP
SURREY BANCORP
SUSQUEHANNA BANCSHARES, INC.
SUSQUEHANNA BANCSHARES, INC.
SUSQUEHANNA BANCSHARES, INC.
City
WAYNESVILLE
WAYNESVILLE
SAN DIEGO
SAN DIEGO
RIVERSIDE
RIVERSIDE
BATESVILLE
BATESVILLE
AIKEN
AIKEN
AIKEN
CHARLESTON
CHARLESTON
JAMESTOWN
JAMESTOWN
JAMESTOWN
ANNAPOLIS
ANNAPOLIS
ANNAPOLIS
ANNAPOLIS
EASTON
EASTON
EASTON
DALLAS
DALLAS
NEW YORK
NEW YORK
NEW YORK
BERNARDSVILLE
BERNARDSVILLE
BERNARDSVILLE
SONOMA
SONOMA
MOREHEAD CITY
MOREHEAD CITY
MOREHEAD CITY
GREENVILLE
GREENVILLE
FAYETTEVILLE
FAYETTEVILLE
FAYETTEVILLE
FAYETTEVILLE
ARKADELPHIA
ARKADELPHIA
WINSTON-SALEM
WINSTON-SALEM
GREENVILLE
GREENVILLE
GREENVILLE
CLEVELAND
CLEVELAND
CARMI
CARMI
POPLAR BLUFF
POPLAR BLUFF
POPLAR BLUFF
SYLACAUGA
SYLACAUGA
SYLACAUGA
STILLWATER
STILLWATER
STILLWATER
DALLAS
DALLAS
BRISTOW
BRISTOW
BRISTOW
ST. LOUIS
HICKORY HILLS
HICKORY HILLS
JERICHO
JERICHO
JERICHO
BARTLEY
BARTLEY
FARGO
FARGO
FARGO
GREENWOOD
GREENWOOD
BOSTON
BOSTON
BOSTON
ST. CLOUD
ST. CLOUD
DENVER
DENVER
CHARLOTTESVILLE
CHARLOTTESVILLE
CHARLOTTESVILLE
CHARLOTTESVILLE
NEW YORK
NEW YORK
NEW YORK
HOUSTON
HOUSTON
HOUSTON
SPOKANE
SPOKANE
SPOKANE
MIDLAND PARK
MIDLAND PARK
MIDLAND PARK
RAPID CITY
RAPID CITY
RAPID CITY
WEST CHESTER
WEST CHESTER
WEST CHESTER
WEST CHESTER
ELMHURST
ELMHURST
SANTA ROSA
SANTA ROSA
SANTA ROSA
VINELAND
VINELAND
VINELAND
ATLANTA
ATLANTA
ATLANTA
ATLANTA
BIRMINGHAM
BIRMINGHAM
MOUNT AIRY
MOUNT AIRY
LITITZ
LITITZ
LITITZ
State
MO
MO
CA
CA
CA
CA
MS
MS
SC
SC
SC
MO
MO
ND
ND
ND
MD
MD
MD
MD
MD
MD
MD
TX
TX
NY
NY
NY
NJ
NJ
NJ
CA
CA
NC
NC
NC
SC
SC
GA
GA
GA
GA
AR
AR
NC
NC
SC
SC
SC
TN
TN
IL
IL
MO
MO
MO
AL
AL
AL
OK
OK
OK
TX
TX
OK
OK
OK
MO
IL
IL
NY
NY
NY
NE
NE
ND
ND
ND
MS
MS
MA
MA
MA
MN
MN
CO
CO
VA
VA
VA
VA
NY
NY
NY
TX
TX
TX
WA
WA
WA
NJ
NJ
NJ
SD
SD
SD
PA
PA
PA
PA
IL
IL
CA
CA
CA
NJ
NJ
NJ
GA
GA
GA
GA
AL
AL
NC
NC
PA
PA
PA
Date
1/11/2013
3/26/2013
1/9/2009
7/14/2011
1/9/2009
9/15/2011
6/26/2009
9/29/2010
12/19/2008
9/29/2010
7/31/2013
2/20/2009
9/22/2011
5/1/2009
6/24/2013
7/26/2013
11/21/2008
9/25/2013
10/29/2013
12/20/2017
1/9/2009
4/15/2009
11/16/2011
6/26/2009
12/15/2010
12/12/2008
3/31/2009
3/16/2010
1/16/2009
5/20/2009
6/24/2009
2/20/2009
8/20/2010
1/9/2009
11/13/2012
1/11/2013
12/5/2008
9/30/2010
7/17/2009
3/8/2013
3/11/2013
4/9/2013
1/16/2009
8/6/2010
12/5/2008
10/1/2012
2/27/2009
7/3/2012
7/25/2012
5/15/2009
9/8/2011
1/23/2009
8/25/2011
12/5/2008
7/21/2011
5/13/2015
6/12/2009
6/29/2015
8/6/2015
12/5/2008
8/8/2012
5/29/2013
3/13/2009
9/22/2011
3/27/2009
10/21/2013
1/6/2014
3/13/2009
4/24/2009
2/22/2013
12/5/2008
12/14/2011
5/27/2015
9/4/2009
9/22/2011
1/16/2009
8/12/2009
6/29/2011
2/13/2009
9/29/2010
10/28/2008
6/17/2009
7/8/2009
6/26/2009
1/18/2012
9/25/2009
9/1/2011
12/19/2008
4/13/2011
12/28/2011
12/18/2013
12/23/2008
4/27/2011
5/18/2011
12/12/2008
5/5/2009
6/15/2010
12/5/2008
8/20/2012
9/19/2012
1/30/2009
9/1/2011
10/26/2011
2/6/2009
1/12/2011
3/16/2011
1/23/2009
3/26/2013
3/27/2013
4/9/2013
6/19/2009
7/16/2015
12/19/2008
8/4/2011
9/14/2011
1/9/2009
4/8/2009
5/27/2009
11/14/2008
12/31/2008
3/30/2011
9/28/2011
12/5/2008
4/15/2011
1/9/2009
12/29/2010
12/12/2008
4/21/2010
12/22/2010
1
Original Investment Type
Preferred Stock w/ Exercised Warrants
Original Investment Amount
$5,803,000.00
Outstanding Investment
$0.00
2
Total Cash Back
Investment Status*
$6,888,017.86 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$6,815,000.00
$0.00
$8,152,698.33 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$17,388,000.00
$0.00
$19,063,111.00 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
$18,000,000.00
$0.00
$19,650,000.00 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$12,500,000.00
$0.00
$14,888,679.86 Redeemed, in full; warrants not outstanding
Subordinated Debentures w/ Exercised Warrants
$10,750,000.00
$0.00
$14,543,635.13 Sold, in full; warrants not outstanding
Preferred Stock w/ Warrants
$23,393,000.00
$0.00
$27,435,463.85 Sold, in full; warrants not outstanding
Preferred Stock w/ Warrants
$25,000,000.00
$0.00
$25,358,333.33 Redeemed, in full; warrants not outstanding
Subordinated Debentures w/ Exercised Warrants
Preferred Stock w/ Warrants
$1,700,000.00
$0.00
$1,994,587.59 Redeemed, in full; warrants not outstanding
$120,000,000.00
$0.00
$132,967,606.41 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
$7,414,000.00
$0.00
Preferred Stock w/ Exercised Warrants
$8,653,000.00
$0.00
Preferred Stock w/ Exercised Warrants
$3,070,000.00
$0.00
$3,575,224.44 Sold, in full; warrants not outstanding
$347,000,000.00
$0.00
$146,965,329.86 Sold, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$12,900,000.00
$0.00
$13,109,014.25 Sold, in full; warrants not outstanding
Preferred Stock
$11,000,000.00
$0.00
$11,855,555.56 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
$42,750,000.00
$0.00
$51,088,046.14 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
$17,299,000.00
$0.00
$19,401,361.89 Sold, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$4,862,000.00
$0.00
$5,718,111.14 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$5,000,000.00
$0.00
$5,955,472.22 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
$9,550,000.00
$0.00
$13,504,763.89 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
Preferred Stock w/ Exercised Warrants
$7,816,685.55 Redeemed, in full; warrants not outstanding
$2,760,000.00
$0.00
$70,000,000.00
$0.00
$85,247,569.91 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$18,215,000.00
$0.00
$21,632,668.61 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$30,000,000.00
$0.00
$11,803,691.75 Sold, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
$3,000,000.00
$60,000,000.00
$3,000,000.00
$0.00
Preferred Stock w/ Warrants
$36,842,000.00
$0.00
Subordinated Debentures w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Warrants
$3,202,464.28 Sold, in full; warrants not outstanding
$1,837,908.00 Full investment outstanding; warrants outstanding
$75,757,163.03 Redeemed, in full; warrants not outstanding
$42,514,919.19 Redeemed, in full; warrants not outstanding
$1,697,000.00
$0.00
$2,030,299.18 Redeemed, in full; warrants not outstanding
$50,000,000.00
$0.00
$58,008,472.23 Redeemed, in full; warrants not outstanding
$15,000,000.00
$0.00
$17,080,708.67 Redeemed, in full; warrants not outstanding
$2,000,000,000.00
$0.00
$2,123,611,111.12 Redeemed, in full; warrants not outstanding
Subordinated Debentures w/ Exercised Warrants
$24,900,000.00
$0.00
$31,495,442.29 Redeemed, in full; warrants not outstanding
Subordinated Debentures w/ Exercised Warrants
$11,019,000.00
$0.00
$13,078,672.60 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
$30,000,000.00
$0.00
$37,191,875.00 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
$42,000,000.00
$0.00
$47,869,108.33 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
$125,198,000.00
$0.00
$130,542,485.91 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
$303,000,000.00
$0.00
$121,757,209.63 Sold, in full; warrants not outstanding
Preferred Stock w/ Warrants
$10,000,000.00
$0.00
$11,400,453.22 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$15,568,000.00
$0.00
Preferred Stock w/ Exercised Warrants
$10,973,000.00
$0.00
Subordinated Debentures w/ Exercised Warrants
$15,000,000.00
$0.00
$24,929,429.70 Redeemed, in full; warrants not outstanding
$8,500,000.00
$0.00
$9,930,625.00 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
$18,101,553.84 Redeemed, in full; warrants not outstanding
$2,652,816.96 Sold, in full; warrants not outstanding
Preferred Stock w/ Warrants
$89,310,000.00
$0.00
$92,513,970.83 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
$3,500,000,000.00
$1,350,000,000.00
$0.00
$5,448,052,772.51 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
$69,000,000.00
$0.00
$4,983,333.33 Currently Not Collectible
$2,000,000.00
$0.00
$2,314,972.22 Redeemed, in full; warrants not outstanding
$300,000,000.00
$0.00
$328,991,401.58 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Warrants
4
(Fee)
($14,904.97)
($10,095.03)
Shares
Avg. Price
(Realized Loss) / (Write-off)
Gain
5
Wt Amount
Wt Shares
$5,803,000.00
5,803
$1,000.00
$290,000.00
$6,815,000.00
6,815
$1,000.00
$341,000.00
341
$17,388,000.00
17,388
$1,000.00
$522,000.00
522
$18,000,000.00
18,000
$1,000.00
$50,000.00
137,966
$12,500,000.00
12,500
$1,000.00
10,750,000
$1.17
23,393
$998.90
$25,000,000.00
25,000
$1,000.00
$1,700,000.00
1,700,000
$1.00
$120,000,000.00
120,000
$1,000.00
$7,414,000.00
7,414
$1,000.00
$10,750,000.00
$23,367,267.70
($125,346.08)
($233,672.68)
$497,164.00 Currently Not Collectible
Preferred Stock w/ Warrants
Preferred Stock w/ Exercised Warrants
Amount
$1,784,607.50
290
$625,000.00
625
$720,368.55
538,000
$520,000.00
556,976
$25,000.00
172,970
($25,732.30)
$85,000.00
85,000
$11,150,939.74
595,829
$275,000.00
163,065
($8,653,000.00)
$2,832,412.70
($25,000.00)
$130,179,218.75
$1,814,620.00
$9,889,679.00
($117,042.99)
$11,000,000.00
$42,750,000.00
$15,638,296.00
$922.61
($237,587.30)
$124,412.34
154
$1,000.00
($216,820,781.25)
$400,000.00
10,106,796
2,000
10,900
$907.31
$907.31
($185,380.00)
($1,010,321.00)
$588,264.19
645
11,000
$1,000.00
42,750
$1,000.00
17,299
$904.00
$1,100,000.00
399,970
$4,862,000.00
4,862
$1,000.00
$243,000.00
243
$5,000,000.00
5,000
$1,000.00
$250,000.00
250
$9,550,000.00
9,550
$1,000.00
$2,700,000.00
231,891
$140,617.94
138
$2,287,197.00
703,753
$2,722,050.00
($234,574.44)
3,070
130,179
2,760
$986.25
$70,000,000.00
70,000
$1,000.00
$18,215,000.00
18,215
$1,000.00
30,000
$300.00
$9,000,000.00
($25,000.00)
($90,000.00)
($1,660,704.00)
($37,950.00)
($21,000,000.00)
$911,000.00
911
$631,941.75
1,500
$60,000,000.00
12,903,226
$4.65
$36,842,000.00
36,842
$1,000.00
$100,566.69
488,847
$1,697,000.00
1,697,000
$1.00
$51,000.00
51,000
$12,500,000.00
$37,500,000.00
12,500
37,500
$1,000.00
$1,000.00
$2,500,000.00
250
$15,000,000.00
15,000
$1,000.00
$750,000.00
750
$2,000,000,000.00
20,000
$100,000.00
$60,000,000.00
2,788,104
$24,900,000.00
24,900,000
$1.00
$1,245,000.00
1,245,000
$11,019,000.00
11,019,000
$1.00
$331,000.00
331,000
$7,500,000.00
$22,500,000.00
7,500
22,500
$1,000.00
$1,000.00
$42,000,000.00
42,000
$1,000.00
$125,198,000.00
125,198
$1,000.00
5,738,637
$20.00
$10,000,000.00
10,000
$1,000.00
$4,000,000.00
$11,568,000.00
4,000
11,568
$1,000.00
$1,000.00
$1,796,209.03
$107,935.66
10,351
622
$173.53
$173.53
$114,772,740.00
($1,434,659.25)
($25,000.00)
$15,000,000.00
15,000,000
$1.00
$8,500,000.00
8,500
$1,000.00
$89,310,000.00
89,310
$1,000.00
$4,850,000,000.00
48,500
$100,000.00
$3,000,000.00
($188,227,260.00)
($8,554,790.97)
($514,064.34)
$2,920,000.00
302,623
$945,775.00
516,817
$2,857,914.52
2,615,557
$825,000.00
97,541
$107,398.00
133,475
$778,000.00
778
$130,704.17
$8,358.99
516
33
$750,000.00
750,000
$315,000.00
239,212
$2,100,000.00
1,620,545
$30,066,661.40
17,900,182
$100,000.00
100
($69,000,000.00)
$2,000,000.00
2,000
$1,000.00
$200,000,000.00
$100,000,000.00
200,000
100,000
$1,000.00
$1,000.00
27
Footnote
8,11,14
12,16
14,15,44
11
8,103
15,17,45
8,97,100
11
8,11,14
63,97
8,14
11
8,11,14
8,14,44
12,16
8
11
8,14
44
11
11,36
8,11,14
8,11,14
11
8,14,44
8,14
11
8,14,44
8,14
8,18,21,44
8,21
134
8,47,97
8,11,14
8
45
8
8,14,44
8,14,44
8,14
8,9,11
8,11
8,14,18
Institution Name
SUSQUEHANNA BANCSHARES, INC.
SV FINANCIAL, INC.
SV FINANCIAL, INC.
SVB FINANCIAL GROUP
SVB FINANCIAL GROUP
SVB FINANCIAL GROUP
SWORD FINANCIAL CORPORATION
SWORD FINANCIAL CORPORATION
SYNOVUS FINANCIAL CORP.
SYNOVUS FINANCIAL CORP.
SYRINGA BANCORP
SYRINGA BANCORP
TAYLOR CAPITAL GROUP
TAYLOR CAPITAL GROUP
TAYLOR CAPITAL GROUP
TCB CORPORATION/COUNTY BANK
TCB CORPORATION/COUNTY BANK
TCB HOLDING COMPANY
TCB HOLDING COMPANY
TCF FINANCIAL CORPORATION
TCF FINANCIAL CORPORATION
TCF FINANCIAL CORPORATION
TCNB FINANCIAL CORP
TCNB FINANCIAL CORP
TENNESSEE COMMERCE BANCORP, INC.
TENNESSEE COMMERCE BANCORP, INC.
TENNESSEE VALLEY FINANCIAL HOLDINGS, INC.
TENNESSEE VALLEY FINANCIAL HOLDINGS, INC.
TENNESSEE VALLEY FINANCIAL HOLDINGS, INC.
TENNESSEE VALLEY FINANCIAL HOLDINGS, INC.
TEXAS CAPITAL BANCSHARES, INC.
TEXAS CAPITAL BANCSHARES, INC.
TEXAS CAPITAL BANCSHARES, INC.
TEXAS NATIONAL BANCORPORATION INC.
TEXAS NATIONAL BANCORPORATION INC.
THE ANB CORPORATION
THE ANB CORPORATION
THE BANCORP, INC.
THE BANCORP, INC.
THE BANCORP, INC.
THE BANK OF CURRITUCK
THE BANK OF CURRITUCK
THE BANK OF KENTUCKY FINANCIAL CORPORATION
THE BANK OF KENTUCKY FINANCIAL CORPORATION
THE BANK OF KENTUCKY FINANCIAL CORPORATION
THE BANK OF KENTUCKY FINANCIAL CORPORATION
THE BARABOO BANCORPORATION, INC.
THE BARABOO BANCORPORATION, INC.
THE BARABOO BANCORPORATION, INC.
THE BARABOO BANCORPORATION, INC.
THE CONNECTICUT BANK AND TRUST COMPANY
THE CONNECTICUT BANK AND TRUST COMPANY
THE ELMIRA SAVINGS BANK, FSB
THE ELMIRA SAVINGS BANK, FSB
THE ELMIRA SAVINGS BANK, FSB
THE FIRST BANCORP, INC.
THE FIRST BANCORP, INC.
THE FIRST BANCORP, INC.
THE FIRST BANCORP, INC.
THE FIRST BANCORP, INC.
THE FIRST BANCSHARES, INC.
THE FIRST BANCSHARES, INC.
THE FIRST BANCSHARES, INC.
THE FIRST STATE BANK OF MOBEETIE
THE FIRST STATE BANK OF MOBEETIE
THE FREEPORT STATE BANK
THE FREEPORT STATE BANK
THE HARTFORD FINANCIAL SERVICES GROUP, INC.
THE HARTFORD FINANCIAL SERVICES GROUP, INC.
THE HARTFORD FINANCIAL SERVICES GROUP, INC.
THE LANDRUM COMPANY
THE LANDRUM COMPANY
THE LITTLE BANK, INCORPORATED
THE LITTLE BANK, INCORPORATED
THE LITTLE BANK, INCORPORATED
THE PNC FINANCIAL SERVICES GROUP, INC.
THE PNC FINANCIAL SERVICES GROUP, INC.
THE PNC FINANCIAL SERVICES GROUP, INC.
THE PRIVATE BANK OF CALIFORNIA
THE PRIVATE BANK OF CALIFORNIA
THE QUEENSBOROUGH COMPANY
THE QUEENSBOROUGH COMPANY
THE QUEENSBOROUGH COMPANY
THE QUEENSBOROUGH COMPANY
THE VICTORY BANCORP, INC.
THE VICTORY BANCORP, INC.
THE VICTORY BANCORP, INC.
THREE SHORES BANCORPORATION, INC.
THREE SHORES BANCORPORATION, INC.
THREE SHORES BANCORPORATION, INC.
THREE SHORES BANCORPORATION, INC.
TIB FINANCIAL CORP
TIB FINANCIAL CORP
TIDELANDS BANCSHARES, INC.
TIDELANDS BANCSHARES, INC.
TIFTON BANKING COMPANY
TIFTON BANKING COMPANY
TIMBERLAND BANCORP, INC.
TIMBERLAND BANCORP, INC.
TIMBERLAND BANCORP, INC.
TIMBERLAND BANCORP, INC.
TIMBERLAND BANCORP, INC.
TIMBERLAND BANCORP, INC.
TITONKA BANCSHARES, INC.
TITONKA BANCSHARES, INC.
TODD BANCSHARES, INC.
TODD BANCSHARES, INC.
TOWNEBANK
TOWNEBANK
TOWNEBANK
TREATY OAK BANCORP, INC.
TREATY OAK BANCORP, INC.
TREATY OAK BANCORP, INC.
TREATY OAK BANCORP, INC.
TRIAD BANCORP, INC.
TRIAD BANCORP, INC.
TRI-COUNTY FINANCIAL CORPORATION
TRI-COUNTY FINANCIAL CORPORATION
TRINITY CAPITAL CORPORATION
TRINITY CAPITAL CORPORATION
TRINITY CAPITAL CORPORATION
TRINITY CAPITAL CORPORATION
TRINITY CAPITAL CORPORATION
TRI-STATE BANK OF MEMPHIS
TRI-STATE BANK OF MEMPHIS
TRISTATE CAPITAL HOLDINGS, INC.
TRISTATE CAPITAL HOLDINGS, INC.
TRISUMMIT BANK
TRISUMMIT BANK
City
LITITZ
STERLING
STERLING
SANTA CLARA
SANTA CLARA
SANTA CLARA
HORICON
HORICON
COLUMBUS
COLUMBUS
BOISE
BOISE
ROSEMONT
ROSEMONT
ROSEMONT
GREENWOOD
GREENWOOD
THE WOODLANDS
THE WOODLANDS
WAYZATA
WAYZATA
WAYZATA
DAYTON
DAYTON
FRANKLIN
FRANKLIN
OAK RIDGE
OAK RIDGE
OAK RIDGE
OAK RIDGE
DALLAS
DALLAS
DALLAS
JACKSONVILLE
JACKSONVILLE
TERRELL
TERRELL
WILMINGTON
WILMINGTON
WILMINGTON
MOYOCK
MOYOCK
CRESTVIEW HILLS
CRESTVIEW HILLS
CRESTVIEW HILLS
CRESTVIEW HILLS
BARABOO
BARABOO
BARABOO
BARABOO
HARTFORD
HARTFORD
ELMIRA
ELMIRA
ELMIRA
DAMARISCOTTA
DAMARISCOTTA
DAMARISCOTTA
DAMARISCOTTA
DAMARISCOTTA
HATTIESBURG
HATTIESBURG
HATTIESBURG
MOBEETIE
MOBEETIE
HARPER
HARPER
HARTFORD
HARTFORD
HARTFORD
COLUMBIA
COLUMBIA
KINSTON
KINSTON
KINSTON
PITTSBURGH
PITTSBURGH
PITTSBURGH
LOS ANGELES
LOS ANGELES
LOUISVILLE
LOUISVILLE
LOUISVILLE
LOUISVILLE
LIMERICK
LIMERICK
LIMERICK
ORLANDO
ORLANDO
ORLANDO
ORLANDO
NAPLES
NAPLES
MT. PLEASANT
MT. PLEASANT
TIFTON
TIFTON
HOQUIAM
HOQUIAM
HOQUIAM
HOQUIAM
HOQUIAM
HOQUIAM
TITONKA
TITONKA
HOPKINSVILLE
HOPKINSVILLE
PORTSMOUTH
PORTSMOUTH
PORTSMOUTH
AUSTIN
AUSTIN
AUSTIN
AUSTIN
FRONTENAC
FRONTENAC
WALDORF
WALDORF
LOS ALAMOS
LOS ALAMOS
LOS ALAMOS
LOS ALAMOS
LOS ALAMOS
MEMPHIS
MEMPHIS
PITTSBURGH
PITTSBURGH
KINGSPORT
KINGSPORT
State
PA
IL
IL
CA
CA
CA
WI
WI
GA
GA
ID
ID
IL
IL
IL
SC
SC
TX
TX
MN
MN
MN
OH
OH
TN
TN
TN
TN
TN
TN
TX
TX
TX
TX
TX
TX
TX
DE
DE
DE
NC
NC
KY
KY
KY
KY
WI
WI
WI
WI
CT
CT
NY
NY
NY
ME
ME
ME
ME
ME
MS
MS
MS
TX
TX
KS
KS
CT
CT
CT
MO
MO
NC
NC
NC
PA
PA
PA
CA
CA
GA
GA
GA
GA
PA
PA
PA
FL
FL
FL
FL
FL
FL
SC
SC
GA
GA
WA
WA
WA
WA
WA
WA
IA
IA
KY
KY
VA
VA
VA
TX
TX
TX
TX
MO
MO
MD
MD
NM
NM
NM
NM
NM
TN
TN
PA
PA
TN
TN
Date
1/19/2011
4/10/2009
8/31/2011
12/12/2008
12/23/2009
6/16/2010
5/8/2009
9/15/2011
12/19/2008
7/26/2013
1/16/2009
1/31/2014
11/21/2008
6/19/2012
7/18/2012
8/28/2009
9/8/2011
1/16/2009
12/13/2013
11/14/2008
4/22/2009
12/21/2009
12/23/2008
8/3/2011
12/19/2008
1/27/2012
12/23/2008
4/26/2013
4/29/2013
5/31/2013
1/16/2009
5/13/2009
3/17/2010
1/9/2009
5/19/2010
8/7/2009
8/25/2011
12/12/2008
3/10/2010
9/8/2010
2/6/2009
12/3/2010
2/13/2009
12/22/2010
11/23/2011
5/29/2013
1/16/2009
12/10/2012
12/11/2012
1/11/2013
12/19/2008
4/19/2012
12/19/2008
8/25/2011
5/6/2015
1/9/2009
8/24/2011
3/27/2013
5/8/2013
5/28/2015
2/6/2009
9/29/2010
5/13/2015
2/27/2009
4/14/2010
2/6/2009
12/19/2012
6/26/2009
3/31/2010
9/27/2010
5/22/2009
8/18/2011
12/23/2008
10/31/2012
1/11/2013
12/31/2008
2/10/2010
5/5/2010
2/20/2009
9/1/2011
1/9/2009
3/8/2013
3/11/2013
4/9/2013
2/27/2009
12/11/2009
9/22/2011
1/23/2009
11/8/2012
11/9/2012
1/11/2013
12/5/2008
9/30/2010
12/19/2008
7/1/2016
4/17/2009
11/12/2010
12/23/2008
11/8/2012
11/9/2012
11/13/2012
1/11/2013
6/11/2013
4/3/2009
4/4/2012
2/6/2009
9/25/2013
12/12/2008
9/22/2011
5/15/2013
1/16/2009
2/15/2011
12/21/2012
8/6/2015
3/27/2009
9/22/2011
12/19/2008
9/22/2011
3/27/2009
8/7/2012
8/9/2012
8/10/2012
9/11/2012
4/3/2009
8/13/2010
2/27/2009
9/26/2012
4/3/2009
12/22/2009
1
Original Investment Type
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Warrants
Subordinated Debentures w/ Exercised Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Warrants
Subordinated Debentures w/ Exercised Warrants
Original Investment Amount
Outstanding Investment
2
Total Cash Back
Investment Status*
$4,000,000.00
$0.00
$4,721,382.89 Redeemed, in full; warrants not outstanding
$235,000,000.00
$0.00
$253,929,027.78 Redeemed, in full; warrants not outstanding
$13,644,000.00
$0.00
$967,870,000.00
$0.00
$8,000,000.00
$0.00
$104,823,000.00
$0.00
$17,019,233.91 Redeemed, in full; warrants not outstanding
$1,190,614,526.39 Redeemed, in full; warrants outstanding
$253,122.22 Currently Not Collectible
$120,845,170.80 Sold, in full; warrants not outstanding
$9,720,000.00
$0.00
$11,730,000.00
$0.00
$361,172,000.00
$0.00
$378,547,699.45 Redeemed, in full; warrants not outstanding
$2,000,000.00
$0.00
$2,384,611.11 Redeemed, in full; warrants not outstanding
$30,000,000.00
$0.00
$3,233,333.33 Currently Not Collectible
$3,000,000.00
$0.00
$3,331,713.17 Sold, in full; warrants not outstanding
$75,000,000.00
$0.00
$82,777,816.21 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$3,981,000.00
$0.00
$4,475,307.67 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$20,000,000.00
$0.00
$23,234,499.98 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
$45,220,000.00
$0.00
$52,787,673.44 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Exercised Warrants
$11,611,381.34 Redeemed, in full; warrants not outstanding
$690,832.08 Currently Not Collectible
$4,021,000.00
$0.00
Preferred Stock w/ Warrants
$34,000,000.00
$0.00
$40,091,342.55 Redeemed, in full; warrants not outstanding
$1,912,684.00 Sold, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$20,749,000.00
$0.00
$18,023,831.85 Sold, in full; warrants not outstanding
Preferred Stock w/ Warrants
$5,448,000.00
$0.00
$6,902,866.33 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
$9,090,000.00
$0.00
$11,795,867.07 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
$25,000,000.00
$0.00
$29,722,063.78 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
$5,000,000.00
$0.00
$5,714,215.56 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$731,000.00
$0.00
$813,086.56 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$301,000.00
$0.00
$379,458.89 Redeemed, in full; warrants not outstanding
$3,400,000,000.00
$0.00
$4,236,125,671.00 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
Preferred Stock w/ Exercised Warrants
$15,000,000.00
$0.00
Preferred Stock w/ Exercised Warrants
$7,500,000.00
$0.00
Preferred Stock w/ Warrants
$17,580,291.55 Redeemed, in full; warrants not outstanding
$9,232,652.17 Sold, in full; warrants not outstanding
$7,579,200,000.00
$0.00
$8,320,638,950.83 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$5,450,000.00
$0.00
$6,474,752.14 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$12,000,000.00
$0.00
Preferred Stock w/ Exercised Warrants
$541,000.00
$1,505,000.00
$0.00
$5,677,000.00
$0.00
Preferred Stock w/ Exercised Warrants
$13,065,246.00 Sold, in full; warrants not outstanding
$6,449,130.64 Sold, in full; warrants not outstanding
$37,000,000.00
$0.00
$13,444,359.59 Sold, in full; warrants not outstanding
Preferred Stock w/ Warrants
$14,448,000.00
$0.00
$10,180,200.33 Sold, in full; warrants not outstanding
$3,800,000.00
$0.00
$16,641,000.00
$0.00
Preferred Stock w/ Warrants
$223,208.00 Exited bankruptcy/Receivership
$18,857,818.52 Sold, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$2,117,000.00
$0.00
$2,569,490.36 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$4,000,000.00
$0.00
$5,210,672.22 Redeemed, in full; warrants not outstanding
$76,458,000.00
$0.00
$88,577,166.67 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
$3,268,000.00
$0.00
$2,412,702.03 Sold, in full; warrants outstanding
Preferred Stock w/ Exercised Warrants
$3,700,000.00
$0.00
$4,386,324.64 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$15,540,000.00
$0.00
$18,653,115.75 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$35,539,000.00
$0.00
$34,644,476.74 Sold, in full; warrants not outstanding
Preferred Stock
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Warrants
$2,795,000.00
$0.00
$2,985,215.11 Redeemed, in full; warrants not outstanding
$23,000,000.00
$0.00
$28,642,402.33 Redeemed, in full; warrants not outstanding
$2,765,000.00
$4,237,000.00
$0.00
$6,496,417.16 Sold, in full; warrants not outstanding
(Fee)
4
Shares
Avg. Price
$4,000,000.00
4,000
$1,000.00
$235,000,000.00
235,000
$1,000.00
$13,644,000.00
13,644,000
$1.00
$967,870,000.00
967,870
$1,000.00
104,823
$893.50
9,720,000
$1.00
(Realized Loss) / (Write-off)
Gain
5
Wt Amount
$5,269,179.36
Wt Shares
3,028,264
$200,000.00
200
$6,820,000.00
354,058
$682,000.00
682,000
$9,839,273.00
1,462,647
$292,000.00
292,000
$9,449,980.56
3,199,988
$100,000.00
100
$19,218.87
$124,922.63
20
130
$6,559,066.21
758,086
($8,000,000.00)
$93,659,350.50
($1,404,890.26)
$9,720,000.00
($11,163,649.50)
($11,730,000.00)
$361,172,000.00
361,172
$1,000.00
$2,000,000.00
2,000
$1,000.00
($30,000,000.00)
$298,000.00
$2,702,000.00
298
2,702
$1,022.11
$1,022.11
$75,000,000.00
75,000
$1,000.00
$3,981,000.00
3,981
$1,000.00
$199,000.00
199
$20,000,000.00
20,000
$1,000.00
$1,000,000.00
1,000
$45,220,000.00
45,220
$1,000.00
$4,753,984.55
980,203
$1,742,850.00
4,021
$433.44
$17,000,000.00
$17,000,000.00
17,000
17,000
$1,000.00
$1,000.00
$2,150,648.55
276,078
$1,956,900.00
$11,577,672.70
3,000
17,749
$652.30
$652.30
$403,161.92
$455,316.35
487
550
$5,448,000.00
5,448
$1,000.00
$9,090,000.00
9,090
$1,000.00
$12,500,000.00
$2,500,000.00
$10,000,000.00
12,500
2,500
10,000
$1,000.00
$1,000.00
$1,000.00
$5,000,000.00
5,000
$1,000.00
$731,000.00
731
$301,000.00
301
$3,400,000,000.00
3,400,000
$1,000.00
15,000
$1,000.00
7,500
$981.20
$7,579,200,000.00
75,792
$100,000.00
$5,450,000.00
5,450
$1,000.00
$244,225.00
$11,478,575.00
250
11,750
$976.90
$976.90
$2,046,000.00
2,046
$1,000.00
$1,165,528.32
$3,877,691.40
1,312
4,365
$12,119,637.37
$8,984,227.00
$3,290,437.50
$1,580,962.50
$9,481,462.50
($25,000.00)
($135,345.73)
$15,000,000.00
$7,359,000.00
($73,590.00)
$6,588.78
$59,741.22
($2,278,150.00)
($1,043,100.00)
($6,171,327.30)
$792,783.00
175,742
$1,486,292.07
151,030
$389,077.67
226,819
$302,410.00
54,705
$1,000.00
$37,000.00
37
$1,000.00
$15,000.00
15
$706,264,559.89
52,093,973
($141,000.00)
$750,000.00
750
$371,250.00
375
$320,372,284.16
16,885,192
$273,000.00
273
($5,775.00)
($271,425.00)
$4,806.45
$571,967.55
5
595
$61,000.00
61
$888.36
$888.36
($146,471.68)
($487,308.60)
$282,284.64
284
12,120
$1,000.00
($24,880,362.63)
$40,000.00
1,106,389
14,448
$621.83
($5,463,773.00)
3,815
1,833
10,993
$862.50
$862.50
$862.50
$1,301,856.00
370,899
$2,117,000.00
2,117
$1,000.00
$106,000.00
106
$4,000,000.00
4,000
$1,000.00
$200,000.00
200
$76,458,000.00
76,458
$1,000.00
$1,500,000.00
554,330
$500,000.00
$150,000.00
3,118
150,000
$160.36
$1.00
$2,322,183.20 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
Preferred Stock w/ Exercised Warrants
Amount
($117,228.00)
($50,432.20)
($3,800,000.00)
($143,528.63)
$3,700,000.00
3,700
$1,000.00
$15,540,000.00
15,540
$1,000.00
$2,639,379.50
$7,038,845.50
$16,984,909.75
3,518
9,382
22,639
$750.25
$750.25
$750.25
($266,631.35)
$2,795,000.00
2,795
$1,000.00
$23,000,000.00
23,000
$1,000.00
($524,562.50)
($252,037.50)
($1,511,537.50)
($2,618,000.00)
$1,570,287.00
($878,620.50)
($2,343,154.50)
($5,654,090.25)
$185,000.00
185
$777,000.00
777
$163,062.90
$1,300,776.05
$191,948.33
175
1,396
206
$1,150,000.00
1,150
28
Footnote
11
8,14,44
11
8,122
8,14,44
22,97,141
12,16
8,14,18,44,45
8,11,17
12,16,25
8
11,36
11,14,15
8,11,44
11
8
9,11,15
8
8,11
8,11,14
8
11
8,14,44
11
8,41,44
11
8,17
8,11,14
8,14,45
8,11,17
11
11,16
11
8,18,21,44
8,17
11
11
Institution Name
TRISUMMIT BANK
TRISUMMIT BANK
TRUSTMARK CORPORATION
TRUSTMARK CORPORATION
TRUSTMARK CORPORATION
TWO RIVERS FINANCIAL GROUP, INC.
TWO RIVERS FINANCIAL GROUP, INC.
U.S. BANCORP
U.S. BANCORP
U.S. BANCORP
U.S. CENTURY BANK
U.S. CENTURY BANK
UBT BANCSHARES, INC.
UBT BANCSHARES, INC.
UCBH HOLDINGS INC.
UCBH HOLDINGS INC.
UMPQUA HOLDINGS CORP.
UMPQUA HOLDINGS CORP.
UMPQUA HOLDINGS CORP.
UNION BANK & TRUST COMPANY
UNION BANK & TRUST COMPANY
UNION BANK & TRUST COMPANY
UNION FINANCIAL CORPORATION
UNION FINANCIAL CORPORATION
UNION FINANCIAL CORPORATION
UNION FIRST MARKET BANKSHARES CORPORATION
UNION FIRST MARKET BANKSHARES CORPORATION
UNION FIRST MARKET BANKSHARES CORPORATION
UNITED AMERICAN BANK
UNITED AMERICAN BANK
UNITED AMERICAN BANK
UNITED BANCORP, INC.
UNITED BANCORP, INC.
UNITED BANCORP, INC.
UNITED BANCORPORATION OF ALABAMA, INC.
UNITED BANCORPORATION OF ALABAMA, INC.
UNITED BANCORPORATION OF ALABAMA, INC.
UNITED BANK CORPORATION
UNITED BANK CORPORATION
UNITED COMMUNITY BANKS, INC.
UNITED COMMUNITY BANKS, INC.
UNITED COMMUNITY BANKS, INC.
UNITED COMMUNITY BANKS, INC.
UNITED COMMUNITY BANKS, INC.
UNITED COMMUNITY BANKS, INC.
UNITED FINANCIAL BANKING COMPANIES, INC.
UNITED FINANCIAL BANKING COMPANIES, INC.
UNITED FINANCIAL BANKING COMPANIES, INC.
UNITY BANCORP, INC.
UNITY BANCORP, INC.
UNITY BANCORP, INC.
UNITY BANCORP, INC.
UNIVERSAL BANCORP
UNIVERSAL BANCORP
UNIVERSAL BANCORP
UNIVERSAL BANCORP
UNIVERSITY FINANCIAL CORP.
UNIVERSITY FINANCIAL CORP.
US METRO BANK
US METRO BANK
UWHARRIE CAPITAL CORP
UWHARRIE CAPITAL CORP
UWHARRIE CAPITAL CORP
VALLEY COMMERCE BANCORP
VALLEY COMMERCE BANCORP
VALLEY COMMUNITY BANK
VALLEY COMMUNITY BANK
VALLEY COMMUNITY BANK
VALLEY FINANCIAL CORPORATION
VALLEY FINANCIAL CORPORATION
VALLEY FINANCIAL CORPORATION
VALLEY FINANCIAL CORPORATION
VALLEY FINANCIAL CORPORATION
VALLEY FINANCIAL CORPORATION
VALLEY FINANCIAL CORPORATION
VALLEY FINANCIAL GROUP, LTD.
VALLEY FINANCIAL GROUP, LTD.
VALLEY NATIONAL BANCORP
VALLEY NATIONAL BANCORP
VALLEY NATIONAL BANCORP
VALLEY NATIONAL BANCORP
VALLEY NATIONAL BANCORP
VERITEX HOLDINGS, INC. (FIDELITY RESOURCES COMPANY)
VERITEX HOLDINGS, INC. (FIDELITY RESOURCES COMPANY)
VILLAGE BANK AND TRUST FINANCIAL CORP.
VILLAGE BANK AND TRUST FINANCIAL CORP.
VILLAGE BANK AND TRUST FINANCIAL CORP.
VIRGINIA COMMERCE BANCORP, INC.
VIRGINIA COMMERCE BANCORP, INC.
VIRGINIA COMMERCE BANCORP, INC.
VIRGINIA COMPANY BANK
VIRGINIA COMPANY BANK
VIRGINIA COMPANY BANK
VIRGINIA COMPANY BANK
VISION BANK - TEXAS
VISION BANK - TEXAS
VISION BANK - TEXAS
VIST FINANCIAL CORP.
VIST FINANCIAL CORP.
W.T.B. FINANCIAL CORPORATION
W.T.B. FINANCIAL CORPORATION
WACHUSETT FINANCIAL SERVICES, INC.
WACHUSETT FINANCIAL SERVICES, INC.
WACHUSETT FINANCIAL SERVICES, INC.
WACHUSETT FINANCIAL SERVICES, INC.
WAINWRIGHT BANK & TRUST COMPANY
WAINWRIGHT BANK & TRUST COMPANY
WAINWRIGHT BANK & TRUST COMPANY
WASHINGTON BANKING COMPANY
WASHINGTON BANKING COMPANY
WASHINGTON BANKING COMPANY
WASHINGTON FEDERAL, INC.
WASHINGTON FEDERAL, INC.
WASHINGTON FEDERAL, INC.
WASHINGTONFIRST BANKSHARES, INC.
WASHINGTONFIRST BANKSHARES, INC.
WASHINGTONFIRST BANKSHARES, INC.
WAUKESHA BANKSHARES, INC.
WAUKESHA BANKSHARES, INC.
WAUKESHA BANKSHARES, INC.
WAUKESHA BANKSHARES, INC.
WAUKESHA BANKSHARES, INC.
WEBSTER FINANCIAL CORPORATION
WEBSTER FINANCIAL CORPORATION
WEBSTER FINANCIAL CORPORATION
WEBSTER FINANCIAL CORPORATION
WEBSTER FINANCIAL CORPORATION
WELLS FARGO & CO.
WELLS FARGO & CO.
City
KINGSPORT
KINGSPORT
JACKSON
JACKSON
JACKSON
BURLINGTON
BURLINGTON
MINNEAPOLIS
MINNEAPOLIS
MINNEAPOLIS
MIAMI
MIAMI
MARYSVILLE
MARYSVILLE
SAN FRANCISCO
SAN FRANCISCO
PORTLAND
PORTLAND
PORTLAND
OXFORD
OXFORD
OXFORD
ALBUQUERQUE
ALBUQUERQUE
ALBUQUERQUE
BOWLING GREEN
BOWLING GREEN
BOWLING GREEN
SAN MATEO
SAN MATEO
SAN MATEO
TECUMSEH
TECUMSEH
TECUMSEH
ATMORE
ATMORE
ATMORE
BARNESVILLE
BARNESVILLE
BLAIRSVILLE
BLAIRSVILLE
BLAIRSVILLE
BLAIRSVILLE
BLAIRSVILLE
BLAIRSVILLE
VIENNA
VIENNA
VIENNA
CLINTON
CLINTON
CLINTON
CLINTON
BLOOMFIELD
BLOOMFIELD
BLOOMFIELD
BLOOMFIELD
ST. PAUL
ST. PAUL
GARDEN GROVE
GARDEN GROVE
ALBEMARLE
ALBEMARLE
ALBEMARLE
VISALIA
VISALIA
PLEASANTON
PLEASANTON
PLEASANTON
ROANOKE
ROANOKE
ROANOKE
ROANOKE
ROANOKE
ROANOKE
ROANOKE
SAGINAW
SAGINAW
WAYNE
WAYNE
WAYNE
WAYNE
WAYNE
DALLAS
DALLAS
MIDLOTHIAN
MIDLOTHIAN
MIDLOTHIAN
ARLINGTON
ARLINGTON
ARLINGTON
NEWPORT NEWS
NEWPORT NEWS
NEWPORT NEWS
NEWPORT NEWS
RICHARDSON
RICHARDSON
RICHARDSON
WYOMISSING
WYOMISSING
SPOKANE
SPOKANE
CLINTON
CLINTON
CLINTON
CLINTON
BOSTON
BOSTON
BOSTON
OAK HARBOR
OAK HARBOR
OAK HARBOR
SEATTLE
SEATTLE
SEATTLE
RESTON
RESTON
RESTON
WAUKESHA
WAUKESHA
WAUKESHA
WAUKESHA
WAUKESHA
WATERBURY
WATERBURY
WATERBURY
WATERBURY
WATERBURY
MINNEAPOLIS
MINNEAPOLIS
State
TN
TN
MS
MS
MS
IA
IA
MN
MN
MN
FL
FL
KS
KS
CA
CA
OR
OR
OR
NC
NC
NC
NM
NM
NM
VA
VA
VA
CA
CA
CA
MI
MI
MI
AL
AL
AL
GA
GA
GA
GA
GA
GA
GA
GA
VA
VA
VA
NJ
NJ
NJ
NJ
IN
IN
IN
IN
MN
MN
CA
CA
NC
NC
NC
CA
CA
CA
CA
CA
VA
VA
VA
VA
VA
VA
VA
MI
MI
NJ
NJ
NJ
NJ
NJ
TX
TX
VA
VA
VA
VA
VA
VA
VA
VA
VA
VA
TX
TX
TX
PA
PA
WA
WA
MA
MA
MA
MA
MA
MA
MA
WA
WA
WA
WA
WA
WA
VA
VA
VA
WI
WI
WI
WI
WI
CT
CT
CT
CT
CT
MN
MN
Date
11/29/2012
1/11/2013
11/21/2008
12/9/2009
12/30/2009
5/29/2009
9/1/2011
11/14/2008
6/17/2009
7/15/2009
8/7/2009
3/17/2015
1/30/2009
8/11/2011
11/14/2008
11/6/2009
11/14/2008
2/17/2010
3/31/2010
5/1/2009
12/18/2009
9/22/2011
12/29/2009
7/25/2012
10/2/2013
12/19/2008
11/18/2009
12/23/2009
2/20/2009
7/2/2014
9/26/2014
1/16/2009
6/19/2012
7/18/2012
12/23/2008
9/3/2010
5/13/2015
5/22/2009
7/3/2012
12/5/2008
3/26/2013
3/27/2013
3/28/2013
4/9/2013
6/10/2013
1/16/2009
12/15/2010
9/15/2011
12/5/2008
5/15/2013
7/3/2013
8/28/2013
5/22/2009
8/8/2013
8/12/2013
9/12/2013
6/19/2009
7/30/2010
2/6/2009
3/23/2016
12/23/2008
4/3/2013
10/16/2013
1/30/2009
3/21/2012
1/9/2009
10/21/2013
1/6/2014
12/12/2008
11/14/2012
2/20/2013
5/15/2013
8/14/2013
10/16/2013
11/13/2013
12/18/2009
9/22/2011
11/14/2008
6/3/2009
9/23/2009
12/23/2009
5/24/2010
6/26/2009
8/25/2011
5/1/2009
11/19/2013
1/6/2014
12/12/2008
12/11/2012
1/31/2014
6/12/2009
8/8/2013
8/12/2013
9/12/2013
4/24/2009
12/28/2012
7/10/2013
12/19/2008
8/1/2012
1/30/2009
9/15/2011
12/11/2009
4/4/2012
1/30/2013
4/23/2014
12/19/2008
11/24/2009
12/16/2009
1/16/2009
1/12/2011
3/2/2011
11/14/2008
5/27/2009
3/15/2010
1/30/2009
10/30/2009
8/4/2011
6/26/2009
2/6/2013
2/7/2013
2/8/2013
3/26/2013
11/21/2008
3/3/2010
10/13/2010
12/29/2010
6/8/2011
10/28/2008
12/23/2009
1
Original Investment Type
Preferred Stock w/ Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Warrants
Original Investment Amount
Outstanding Investment
2
Total Cash Back
Investment Status*
$215,000,000.00
$0.00
$236,287,500.00 Redeemed, in full; warrants not outstanding
$12,000,000.00
$0.00
$14,075,133.27 Redeemed, in full; warrants not outstanding
$6,599,000,000.00
$0.00
$6,933,220,416.67 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$50,236,000.00
$0.00
$13,070,409.40 Sold, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$8,950,000.00
$0.00
$10,634,911.78 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
$298,737,000.00
$0.00
Preferred Stock w/ Warrants
$214,181,000.00
$0.00
$232,156,554.58 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
$3,194,000.00
$2,997,000.00
$0.00
$7,031,291.65 Redeemed, in full; warrants not outstanding
$2,179,000.00
$0.00
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Exercised Warrants
$59,000,000.00
$0.00
$7,510,095.07 Currently Not Collectible
$2,639,873.33 Redeemed, in full; warrants not outstanding
$62,145,972.22 Redeemed, in full; warrants not outstanding
$8,700,000.00
$0.00
$3,432,657.85 Sold, in full; warrants not outstanding
Preferred Stock w/ Warrants
$20,600,000.00
$0.00
$20,315,924.72 Sold, in full; warrants not outstanding
Preferred Stock w/ Warrants
$10,300,000.00
$0.00
$11,182,763.89 Redeemed, in full; warrants not outstanding
Subordinated Debentures w/ Exercised Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Exercised Warrants
Subordinated Debentures
$14,400,000.00
$0.00
$180,000,000.00
$0.00
$5,658,000.00
$0.00
$18,882,079.62 Redeemed, in full; warrants not outstanding
$210,367,527.00 Sold, in full; warrants not outstanding
$6,649,963.92 Redeemed, in full; warrants not outstanding
$20,649,000.00
$0.00
$28,013,814.50 Redeemed, in full; warrants not outstanding
$9,900,000.00
$0.00
$12,066,668.65 Sold, in full; warrants not outstanding
$11,926,000.00
$0.00
$12,948,886.40 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$2,861,000.00
$0.00
$3,465,216.00 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$10,000,000.00
$0.00
$12,916,040.83 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$7,700,000.00
$0.00
$9,403,400.50 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$5,500,000.00
$0.00
$2,947,090.75 Sold, in full; warrants not outstanding
$16,019,000.00
$0.00
Preferred Stock w/ Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Warrants
$21,311,670.48 Redeemed, in full; warrants not outstanding
$1,300,000.00
$0.00
$1,489,774.73 Redeemed, in full; warrants not outstanding
$300,000,000.00
$0.00
$318,400,781.94 Redeemed, in full; warrants not outstanding
$3,000,000.00
$0.00
$3,503,795.81 Redeemed, in full; warrants not outstanding
$14,738,000.00
$0.00
$6,933,870.05 Sold, in full; warrants outstanding
$71,000,000.00
$0.00
$4,700,000.00
$0.00
$1,500,000.00
$0.00
$118,453,138.89 Redeemed, in full; warrants not outstanding
$3,694,442.50 Sold, in full; warrants not outstanding
$1,898,258.59 Redeemed, in full; warrants not outstanding
$25,000,000.00
$0.00
$30,710,646.33 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$110,000,000.00
$0.00
$131,236,874.33 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$12,000,000.00
$0.00
$14,731,826.23 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
$22,000,000.00
$0.00
$23,592,311.11 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
$26,380,000.00
$0.00
$30,628,344.45 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
$200,000,000.00
$0.00
$220,749,985.18 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
$6,633,000.00
$6,842,000.00
$0.00
Preferred Stock w/ Exercised Warrants
$5,625,000.00
$0.00
Amount
$5,251,500.00
(Fee)
4
(Realized Loss) / (Write-off)
($1,750,500.00)
Avg. Price
$750.00
$215,000,000.00
215,000
$1,000.00
$12,000,000.00
12,000
$1,000.00
$6,599,000,000.00
6,599,000
$1,000.00
$11,738,143.76
50,236
$233.66
$8,950,000.00
8,950
$1,000.00
$214,181,000.00
214,181
$1,000.00
$6,191,000.00
6,191
$1,000.00
$600,000.00
$1,579,000.00
600
1,579
$1,000.00
$1,000.00
$65,000.00
65
$59,000,000.00
59,000
$1,000.00
$450,000.00
211,318
$138,607.85
435
$38,000.00
311,492
$10,125.00
111,258
$720,000.00
720,000
($38,497,856.24)
Preferred Stock w/ Warrants
$400,000,000.00
$0.00
$457,333,286.51 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
$25,000,000,000.00
$0.00
$27,281,347,113.95 Redeemed, in full; warrants not outstanding
Wt Amount
$124,665.75
Wt Shares
138
$10,000,000.00
1,647,931
$600,000.00
60
$139,000,000.00
32,679,102
$586,953.92
2,512
$450,000.00
45
$4,500,000.00
1,110,898
$160,000.00
160
($298,737,000.00)
$3,319,050.00
8,700
$381.50
($5,380,950.00)
20,600
$825.50
($3,594,700.00)
$10,300,000.00
10,300
$1,000.00
$14,400,000.00
14,400,000
$1.00
$1,516,900.00
$12,587,575.00
$159,145,525.00
1,576
13,078
165,346
$962.50
$962.50
$962.50
$3,000,000.00
$2,658,000.00
3,000
2,658
$1,000.00
$1,000.00
$10,324,000.00
$10,325,000.00
10,324
10,325
$1,000.00
$1,000.00
$237,527.50
$9,168,561.50
250
9,650
$950.11
$950.11
11,926,000
$1.00
$17,005,300.00
($25,000.00)
($255,079.50)
($1,732,500.00)
($94,060.89)
$11,926,000.00
($59,100.00)
($490,425.00)
($6,200,475.00)
($12,472.50)
($481,438.50)
$6,677.00
219,908
$283,000.00
283
$2,707,314.00
764,778
$476,573.62
495
$2,861,000.00
2,861
$1,000.00
$143,000.00
143
$7,742,000.00
$2,258,000.00
7,742
2,258
$1,000.00
$1,000.00
$500,000.00
500
$7,700,000.00
7,700
$1,000.00
$385,000.00
385
$2,296,800.00
5,500
$417.60
$45,815.25
275
$1,600,000.00
$1,600,000.00
$1,600,000.00
$1,600,000.00
$9,619,000.00
1,600
1,600
1,600
1,600
9,619
$1,000.00
$1,000.00
$1,000.00
$1,000.00
$1,000.00
$1,547,891.58
344,742
$1,300,000.00
1,300
$1,000.00
$65,000.00
65
$75,000,000.00
$125,000,000.00
$100,000,000.00
75,000
125,000
100,000
$1,000.00
$1,000.00
$1,000.00
$5,421,615.27
2,532,542
$3,000,000.00
3,000
$1,000.00
$150,000.00
150
14,738
$384.88
$71,000,000.00
71,000
$1,000.00
$33,263,000.00
2,696,203
$325,353.86
$2,543,620.14
533
4,167
$610.42
$610.42
$63,481.25
143
$787,500.00
$712,500.00
788
713
$1,000.00
$1,000.00
$75,000.00
75
$25,000,000.00
25,000
$1,000.00
$1,189,813.00
367,984
$110,000,000.00
110,000
$1,000.00
$5,500,000.00
5,500
$3,000,000.00
$4,000,000.00
$5,000,000.00
3,000
4,000
5,000
$1,000.00
$1,000.00
$1,000.00
$478,000.00
478
$22,000,000.00
22,000
$1,000.00
$568,700.00
390,071
$5,672,361.44
($25,000.00)
($56,723.61)
($25,000.00)
$26,380,000.00
26,380
$1,000.00
$200,000,000.00
200,000
$1,000.00
$13,475,000.00
13,475
$1,000.00
$4,831,002.80
$92,690.00
$290,119.70
5,212
100
313
$926.90
$926.90
$926.90
$100,000,000.00
$100,000,000.00
$200,000,000.00
100,000
100,000
200,000
$1,000.00
$1,000.00
$1,000.00
$25,000,000,000.00
25,000
$1,000,000.00
($3,203,200.00)
($9,065,638.56)
($207,646.14)
($1,623,379.86)
$15,317,317.86 Redeemed, in full; warrants not outstanding
$6,398,893.44 Sold, in full; warrants not outstanding
Gain
5
Shares
7,002
($52,515.00)
($52,138.13)
($380,997.20)
($7,310.00)
($22,880.30)
$1,625,000.00
246,082
$15,388,874.07
1,707,456
$332,000.00
332
$18,644.66
$147,194.69
19
150
$20,388,842.06
3,282,276
29
Footnote
11
11
11
44
8,117
8,14,18
8,11,78
8
11
11
8,14
8,14,45
11
Institution Name
WELLS FARGO & CO.
WESBANCO, INC.
WESBANCO, INC.
WESBANCO, INC.
WEST BANCORPORATION, INC.
WEST BANCORPORATION, INC.
WEST BANCORPORATION, INC.
WESTAMERICA BANCORPORATION
WESTAMERICA BANCORPORATION
WESTAMERICA BANCORPORATION
WESTAMERICA BANCORPORATION
WESTERN ALLIANCE BANCORPORATION
WESTERN ALLIANCE BANCORPORATION
WESTERN ALLIANCE BANCORPORATION
WESTERN COMMUNITY BANCSHARES, INC.
WESTERN COMMUNITY BANCSHARES, INC.
WESTERN ILLINOIS BANCSHARES, INC.
WESTERN ILLINOIS BANCSHARES, INC.
WESTERN ILLINOIS BANCSHARES, INC.
WESTERN ILLINOIS BANCSHARES, INC.
WESTERN ILLINOIS BANCSHARES, INC.
WESTERN RESERVE BANCORP, INC.
WESTERN RESERVE BANCORP, INC.
WHITE RIVER BANCSHARES COMPANY
WHITE RIVER BANCSHARES COMPANY
WHITE RIVER BANCSHARES COMPANY
WHITE RIVER BANCSHARES COMPANY
WHITNEY HOLDING CORPORATION
WHITNEY HOLDING CORPORATION
WILMINGTON TRUST CORPORATION / M&T BANK CORPORATION
WILMINGTON TRUST CORPORATION / M&T BANK CORPORATION
WILSHIRE BANCORP, INC.
WILSHIRE BANCORP, INC.
WILSHIRE BANCORP, INC.
WINTRUST FINANCIAL CORPORATION
WINTRUST FINANCIAL CORPORATION
WINTRUST FINANCIAL CORPORATION
WORTHINGTON FINANCIAL HOLDINGS, INC.
WORTHINGTON FINANCIAL HOLDINGS, INC.
WORTHINGTON FINANCIAL HOLDINGS, INC.
WSFS FINANCIAL CORPORATION
WSFS FINANCIAL CORPORATION
WSFS FINANCIAL CORPORATION
YADKIN VALLEY FINANCIAL CORPORATION / YADKIN FINANCIAL CORPORATION
YADKIN VALLEY FINANCIAL CORPORATION / YADKIN FINANCIAL CORPORATION
YADKIN VALLEY FINANCIAL CORPORATION / YADKIN FINANCIAL CORPORATION
YADKIN VALLEY FINANCIAL CORPORATION / YADKIN FINANCIAL CORPORATION
YADKIN VALLEY FINANCIAL CORPORATION / YADKIN FINANCIAL CORPORATION
YORK TRADITIONS BANK
YORK TRADITIONS BANK
ZIONS BANCORPORATION
ZIONS BANCORPORATION
ZIONS BANCORPORATION
ZIONS BANCORPORATION
City
MINNEAPOLIS
WHEELING
WHEELING
WHEELING
WEST DES MOINES
WEST DES MOINES
WEST DES MOINES
SAN RAFAEL
SAN RAFAEL
SAN RAFAEL
SAN RAFAEL
LAS VEGAS
LAS VEGAS
LAS VEGAS
PALM DESERT
PALM DESERT
MONMOUTH
MONMOUTH
MONMOUTH
MONMOUTH
MONMOUTH
MEDINA
MEDINA
FAYETTEVILLE
FAYETTEVILLE
FAYETTEVILLE
FAYETTEVILLE
NEW ORLEANS
NEW ORLEANS
WILMINGTON
WILMINGTON
LOS ANGELES
LOS ANGELES
LOS ANGELES
LAKE FOREST
LAKE FOREST
LAKE FOREST
HUNTSVILLE
HUNTSVILLE
HUNTSVILLE
WILMINGTON
WILMINGTON
WILMINGTON
ELKIN
ELKIN
ELKIN
ELKIN
ELKIN
YORK
YORK
SALT LAKE CITY
SALT LAKE CITY
SALT LAKE CITY
SALT LAKE CITY
State
MN
WV
WV
WV
IA
IA
IA
CA
CA
CA
CA
NV
NV
NV
CA
CA
IL
IL
IL
IL
IL
OH
OH
AR
AR
AR
AR
LA
LA
DE
DE
CA
CA
CA
IL
IL
IL
AL
AL
AL
DE
DE
DE
NC
NC
NC
NC
NC
PA
PA
UT
UT
UT
UT
Date
5/26/2010
12/5/2008
9/9/2009
12/23/2009
12/31/2008
6/29/2011
8/31/2011
2/13/2009
9/2/2009
11/18/2009
11/21/2011
11/21/2008
9/27/2011
11/23/2011
12/23/2008
11/7/2014
12/23/2008
12/29/2009
11/8/2012
11/9/2012
1/11/2013
5/15/2009
11/30/2012
2/20/2009
7/1/2014
7/2/2014
9/26/2014
12/19/2008
6/3/2011
12/12/2008
5/13/2011
12/12/2008
4/3/2012
6/20/2012
12/19/2008
12/22/2010
2/14/2011
5/15/2009
6/24/2013
7/26/2013
1/23/2009
4/3/2012
9/12/2012
1/16/2009
7/24/2009
9/18/2012
6/10/2013
6/11/2013
4/24/2009
7/14/2011
11/14/2008
3/28/2012
9/26/2012
12/5/2012
1
Original Investment Type
Original Investment Amount
Outstanding Investment
2
Total Cash Back
Investment Status*
Preferred Stock w/ Warrants
$75,000,000.00
$0.00
$78,804,166.67 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
$36,000,000.00
$0.00
$41,195,000.00 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
$83,726,000.00
$0.00
$87,360,236.61 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Warrants
$140,000,000.00
$0.00
$160,365,000.00 Redeemed, in full; warrants not outstanding
Preferred Stock w/ Exercised Warrants
$7,290,000.00
$0.00
Preferred Stock w/ Exercised Warrants
$6,855,000.00
$4,567,000.00
$0.00
Preferred Stock w/ Exercised Warrants
$4,700,000.00
$0.00
Preferred Stock w/ Exercised Warrants
$16,800,000.00
$0.00
$20,275,427.10 Sold, in full; warrants not outstanding
$300,000,000.00
$0.00
$343,733,333.33 Redeemed, in full; warrants not outstanding
$0.00
$369,920,833.33 Redeemed, in full; warrants outstanding
Preferred Stock w/ Warrants
$62,158,000.00
$0.00
Preferred Stock w/ Warrants
$250,000,000.00
$0.00
Preferred Stock w/ Exercised Warrants
Preferred Stock w/ Warrants
TOTALS
Shares
Avg. Price
75,000
$1,000.00
$36,000,000.00
36,000
$1,000.00
$41,863,000.00
$41,863,000.00
41,863
41,863
$1,000.00
$1,000.00
$140,000,000.00
140,000
$1,000.00
$68,809,170.52 Sold, in full; warrants not outstanding
$300,704,730.81 Redeemed, in full; warrants not outstanding
$2,720,000.00
$0.00
$2,780,391.21 Sold, in full; warrants not outstanding
$52,625,000.00
$0.00
$57,640,856.64 Sold, in full; warrants not outstanding
$36,000,000.00
$13,312,000.00
$0.00
$4,871,000.00
$0.00
$5,705,022.14 Redeemed, in full; warrants not outstanding
$1,400,000,000.00
$0.00
$1,661,027,529.62 Redeemed, in full; warrants not outstanding
$204,894,726,320.00
$47,536,331.76
(Realized Loss) / (Write-off)
Gain
5
1,117
10,305
$940.49
$938.67
$4,700,000.00
4,700
$1,000.00
$1,300,000.00
$15,500,000.00
1,300
15,500
$1,063.21
$1,063.21
$300,000,000.00
300,000
$1,000.00
$330,000,000.00
330,000
$1,000.00
$58,646,694.58
($107,235.41)
($178,619.28)
($879,700.42)
$250,000,000.00
$2,343,851.20
62,158
$943.51
250,000
$1,000.00
($66,475.28)
($631,984.63)
$82,173.00
$979,755.00
($3,511,305.42)
2,720
$861.71
($376,148.80)
$48,157,663.75
($722,364.96)
52,625
$915.11
($4,467,336.25)
$44,149,056.00
($662,235.84)
49,312
$895.30
($5,162,944.00)
$4,871,000.00
4,871
$1,000.00
$700,000,000.00
$700,000,000.00
700,000
700,000
$1,000.00
$1,000.00
($24,999.99)
$52,383,419.85 Sold, in full; warrants not outstanding
$226,754,546,585.60
Wt Amount
$840,374,891.73
Wt Shares
110,261,688
$950,000.00
439,282
$700,000.00
474,100
$878,256.00
246,698
$415,000.00
787,107
$335,417.06
343
($7,290,000.00)
$1,050,524.72
$9,673,015.37
$5,842,197.92 Redeemed, in full; warrants not outstanding
$330,000,000.00
Preferred Stock w/ Warrants
4
$554,083.00 Currently Not Collectible
Preferred Stock w/ Warrants
Preferred Stock w/ Warrants
(Fee)
$13,053,910.87 Sold, in full; warrants not outstanding
Preferred Stock w/ Warrants
Preferred Stock w/ Exercised Warrants
Amount
$75,000,000.00
$199,662,883,791.99
($38,027,858.19)
($5,184,306,196.39) $6,910,518,810.00
$235,000.00
235
$1,002,535.38
840
$6,900,000.00
2,631,579
$760,000.00
949,460
$25,600,564.15
1,643,295
$90,940.00
136
$1,800,000.00
175,105
$55,677.00
$20,000.00
91,178
128,663
$244,000.00
244
$7,666,418.51
$8,067,802,497.60
5,789,909
30
Footnote
1
2
3
4
Footnote Description
All pricing is at par.
Total Cash Back includes net capital repayments, interest and dividends, warrant proceeds, and other income (less expenses).
Capital Repayments includes gross capital repayments, gross auction proceeds, exchanges into CDCI, and SBLF fundings.
Includes: (i) placement fees in private auctions of a CPP issuer’s securities where Treasury pays placement fees to the placement agents in an amount equal to a minimum of $50,000 (per
issuer) or 1.00% of gross aggregate proceeds for each security and (ii) unreimbursed underwriting fees in public offerings. Placement fees in private auctions are paid approximately one
month after settlement.
5 Net proceeds from sales and auctions can be calculated by adding the “Amount” and “(Fee)” columns under the "Capital Repayment / Disposition / Auction" plus any amount in the "Gain"
column. Note that "(Fee)" is a negative number.
6 This transaction was included in previous Transaction Reports with Merrill Lynch & Co., Inc. listed as the qualifying institution and a 10/28/2008 transaction date, footnoted to indicate that
settlement was deferred pending merger. The purchase of Merrill Lynch by Bank of America was completed on 1/1/2009, and this transaction under the CPP was funded on 1/9/2009.
7 The warrant disposition proceeds amount are stated pro rata in respect of the CPP investments in Bank of America Corporation that occurred on 10/28/2008 and 1/9/2009. The total net
disposition proceeds from CPP warrants on 3/3/2010 was $305,913,040, consisting of $183,547,824 and $122,365,216. Proceeds from the disposition of TIP warrants on 3/3/2010 appear on
a following page of this report.
8 Privately-held qualified financial institution; Treasury received a warrant to purchase additional shares of preferred stock (unless the institution is a CDFI), which it exercised immediately.
9 To promote community development financial institutions (CDFIs), Treasury does not require warrants as part of its investment in certified CDFIs when the size of the investment is $50
million or less.
10 Treasury cancelled the warrants received from this institution due to its designation as a CDFI.
11 Repayment pursuant to Title VII, Section 7001(g) of the American Recovery and Reinvestment Act of 2009.
12 Redemption pursuant to a qualified equity offering.
13 This amount does not include accrued and unpaid dividends, which must be paid at the time of capital repayment.
14 The proceeds associated with the disposition of this investment do not include accrued and unpaid dividends.
15 Subchapter S corporation; Treasury received a warrant to purchase additional subordinated debentures (unless the institution is a CDFI), which it exercised immediately.
16 In its qualified equity offering, this institution raised more capital than Treasury’s original investment, therefore, the number of Treasury’s shares underlying the warrant was reduced by half.
17 This institution participated in the expansion of CPP for small banks.
18 This institution received an additional investment through the expansion of CPP for small banks.
19 Treasury made three separate investments in Citigroup Inc. (Citigroup) under the CPP, Targeted Investment Program (TIP), and Asset Guarantee Program (AGP) for a total of $49 billion. On
6/9/2009, Treasury entered into an agreement with Citigroup to exchange up to $25 billion of Treasury's investment in Fixed Rate Cumulative Perpetual Preferred Stock, Series H (CPP
Shares) "dollar for dollar" in Citigroup's Private and Public Exchange Offerings. On 7/23/2009 and 7/30/2009, Treasury exchanged a total of $25 billion of the CPP shares for Series M
Common Stock Equivalent (“Series M”) and a warrant to purchase shares of Series M. On 9/11/2009, Series M automatically converted to 7,692,307,692 shares of common stock and the
associated warrant terminated on receipt of certain shareholder approvals.
20 On 8/24/2009, Treasury exchanged its series C preferred stock issued by Popular, Inc. for a like amount of non tax-deductible trust preferred securities issued by Popular Capital Trust III,
administrative trustee for Popular, Inc. Popular, Inc. paid a $13 million exchange fee in connection with this transaction.
31
Footnote
21
22
23
24
25
Footnote Description
This institution converted to a bank holding company structure and Treasury exchanged its securities for a like amount of securities that comply with the CPP terms applicable to bank holding
companies. The institution in which Treasury's original investment was made is shown in parentheses.
As of the date of this report, this institution is in bankruptcy proceedings.
On 12/10/2009, the bankruptcy reorganization plan of CIT Group Inc. became effective and Treasury's preferred stock and warrant investment were extinguished and replaced by contingent
value rights (CVRs). On 2/8/2010, the CVRs expired without value as the terms and conditions for distribution of common shares to holders of CVRs were not met.
On 12/11/2009, Treasury exchanged its series A preferred stock issued by Superior Bancorp, Inc. for a like amount of non tax-deductible Trust Preferred Securities issued by Superior Capital
Trust II, administrative trustee for Superior Bancorp.
On 2/1/2010, following the acquisition of First Market Bank (First Market) by Union Bankshares Corporation (the acquiror), the preferred stock and exercised warrants issued by First Market
on 2/6/2009 were exchanged for a like amount of securities of the acquiror in a single series but with a blended dividend rate equivalent to those of Treasury's original investment.
26 On 2/11/2010, Pacific Coast National Bancorp dismissed its bankruptcy proceedings with no recovery to any creditors or investors, including Treasury, and the investment was extinguished.
27 On 3/8/2010, Treasury exchanged its $84,784,000 of preferred stock in Midwest Banc Holdings, Inc. (MBHI) for $89,388,000 of mandatory convertible preferred Stock (MCP), which is
equivalent to the initial investment amount of $84,784,000, plus $4,604,000 of capitalized previously accrued and unpaid dividends. Subject to the fulfillment by MBHI of the conditions related
to its capital plan, the MCP may be converted to common stock.
28 On 3/30/2010, Treasury exchanged its $7,500,000 of subordinated debentures in GulfSouth Private Bank for an equivalent amount of preferred stock, in connection with its conversion from a
Subchapter S-Corporation, that comply with the CPP terms applicable to privately held qualified financial institutions.
29 On 4/16/2010, Treasury exchanged its $72,000,000 of preferred stock in Independent Bank Corporation (Independent) for $74,426,000 of mandatory convertible preferred Stock (MCP),
which is equivalent to the initial investment amount of $72,000,000, plus $2,426,000 of capitalized previously accrued and unpaid dividends. On 7/26/13, Treasury entered into a securities
purchase agreement with Independent pursuant to which Treasury agreed to sell to Independent the MCP and the warrant issued by Independent, subject to the conditions specified in such
agreement. On 8/30/13, Treasury completed the sale of the MCP and warrant to Independent pursuant to the terms of such agreement.
30 Treasury received Citigroup common stock pursuant to the June 2009 Exchange Agreement between Treasury and Citigroup which provided for the exchange into common shares of the
preferred stock that Treasury purchased in connection with Citigroup's participation in the Capital Purchase Program (see note 11). On April 26, 2010, Treasury gave Morgan Stanley & Co.
Incorporated (Morgan Stanley) discretionary authority as its sales agent to sell subject to certain parameters up to 1,500,000,000 shares of the common stock from time to time during the
period ending on June 30, 2010 (or on completion of the sale). Completion of the sale under this authority occurred on May 26, 2010. On May 26, 2010, Treasury again gave Morgan Stanley
discretionary authority as its sales agent to sell subject to certain parameters up to 1,500,000,000 shares of the common stock from time to time during the period ending on June 30, 2010 (or
on completion of the sale). Completion of the sale under this authority occurred on June 30, 2010. On July 23, 2010, Treasury again gave Morgan Stanley discretionary authority as its sales
agent to sell subject to certain parameters up to 1,500,000,000 shares of the common stock from time to time during the period ending on September 30, 2010 (or on completion of the sale).
Completion of the sale under this authority occurred on September 30, 2010. On October 19, 2010, Treasury gave Morgan Stanley & Co. Incorporated (Morgan Stanley) discretionary
authority, as its sales agent, to sell subject to certain parameters up to 1,500,000,000 shares of common stock from time to time during the period ending on December 31, 2010 (or upon
completion of the sale), which plan was terminated on December 6, 2010. All such sales were generally made at the market price. On December 6, 2010, Treasury commenced an
underwritten public offering of its remaining 2,417,407,607 shares. See "Capital Purchase Program - Citigroup, Inc., Common Stock Disposition" on following page for the actual number of
shares sold by Morgan Stanley, the weighted average price per share and the total proceeds to Treasury from all such sales during those periods.
32
Footnote
Footnote Description
31 On 8/26/2010, Treasury completed the exchange of its $303,000,000 of preferred stock in Sterling Financial Corporation (Sterling) for a like amount of mandatorily convertible preferred Stock
(MCP), pursuant to the terms of the exchange agreement between Treasury and Sterling entered into on 4/29/2010. Since Sterling also fulfilled the conversion conditions set forth in the
Certificate of Designations for the MCP, including those related to its capital plan, Treasury’s $303,000,000 of MCP was subsequently, as of 8/26/2010, converted into 378,750,000 shares of
common stock.
32 On 8/20/2010, Sonoma Valley Bank, Sonoma, CA, the banking subsidiary of Sonoma Valley Bancorp, was closed by the California Department of Financial Institutions, and the Federal
Deposit Insurance Corporation (FDIC) was named Receiver.
33 On 6/30/2010, Treasury exchanged $46,400,000 of its series A preferred stock in First Merchants Corporation for a like amount of non tax-deductible Trust Preferred Securities issued by First
Merchants Capital Trust III.
34 On 7/20/2010, Treasury completed the exchange of its $400,000,000 of preferred stock in First BanCorp for $424,174,000 of mandatorily convertible preferred Stock (MCP), which is
equivalent to the initial investment amount of $400,000,000, plus $24,174,000 of capitalized previously accrued and unpaid dividends. On 10/07/2011, following the completion of the
conversion conditions set forth in the Certificate of Designations for the MCP, all of Treasury’s MCP was converted into 32,941,797 shares of common stock of First BanCorp. Treasury
received all accrued and previously unpaid dividends on the MCP at the time of the conversion. First BanCorp has agreed to have a Treasury observer attend board of directors meetings.
35 On 8/31/2010, following the completion of the conditions related to Pacific Capital Bancorp's (Pacific Capital) capital plan, Treasury exchanged its $180,634,000 of preferred stock in Pacific
Capital for $195,045,000 of mandatorily convertible preferred Stock (MCP), which is equivalent to the initial investment amount of $180,634,000, plus $14,411,000 of capitalized previously
accrued and unpaid dividends. On 9/27/2010, following the completion of the conversion conditions set forth in the Certificate of Designations for the MCP, all of Treasury’s MCP was
converted into 360,833,250 shares of common stock of Pacific Capital. Following a reverse stock split effective 12/28/10, Treasury held 3,608,332 shares of Pacific Capital common stock.
Effective 11/30/12, Pacific Capital merged with and into UnionBanCal Corporation and each outstanding share of common stock of the Company was converted into the right to receive
$46.00 per share in cash, and Treasury received $165,983,272 in respect of its common stock and $393,121 in respect of its warrant.
36 This institution qualified to participate in the Community Development Capital Initiative (CDCI), and has completed an exchange of its Capital Purchase Program investment for an investment
under the terms of the CDCI program. See "Community Development Capital Initiative" below.
37 At the time of this institution’s exchange into the CDCI program, the warrant preferreds were included in the total amount of preferred stock exchanged for Treasury’s CDCI investment.
Therefore this disposition amount does not represent cash proceeds to Treasury.
38 On 9/30/2010, Treasury completed the exchange of its $80,347,000 of preferred stock in Hampton Roads Bankshares, Inc. (Hampton) for a like amount of mandatorily convertible preferred
Stock (MCP), pursuant to the terms of the exchange agreement between Treasury and Hampton entered into on 8/12/2010. Since Hampton also fulfilled the conversion conditions set forth in
the Certificate of Designations for the MCP, Treasury’s $80,347,000 of MCP was subsequently converted into 52,225,550 shares of common stock.
39 Treasury entered into an agreement on 1/28/2011 with North American Financial Holdings, Inc. for the sale of all preferred stock and warrants issued by Capital Bank Corporation to Treasury
for an aggregate purchase price of $41,279,000. Since the conditions to closing of the sale were satisfied, the closing of the sale also occurred on 1/28/2011.
40 On 2/18/11, Treasury completed the exchange of its $135,000,000 of preferred stock (including accrued and unpaid dividends thereon) in Central Pacific Financial Corp. for not less than
5,620,117 shares of common stock, pursuant to an exchange agreement dated 2/17/2011.
41 As a result of the acquisition of Fidelity Resources Company (the acquired company) by Veritex Holdings, Inc. (the acquiror), the preferred stock and exercised warrants issued by the
acquired company on 6/26/2009 were exchanged for a like amount of securities of the acquiror, pursuant to the terms of an agreement among Treasury, the acquired company and the
acquiror entered into on 3/23/2011.
42 As a result of the acquisition of NC Bancorp, Inc. (the acquired company) by Metropolitan Bank Group, Inc. (the acquiror), Treasury exchanged $6,880,000 of its preferred stock in NC
Bancorp, Inc. and $71,526,000 of its preferred stock in Metropolitan Bank Group, Inc. for $81,892,000 of a new series of preferred stock in Metropolitan Bank Group, Inc., which is equivalent
to the combined initial investment amount of $78,406,000 plus $3,486,000 of capitalized previously accrued and unpaid dividends, pursuant to the terms of an agreement among Treasury, the
acquired company and the acquiror entered into on 3/30/2011. Exercised warrants were also exchanged at the time of the agreement.
33
Footnote
Footnote Description
43 On 7/5/2011, Treasury completed a transaction with Harris Financial Corp., a wholly-owned subsidiary of Bank of Montreal ("BMO"), for the sale of (i) all Marshall & Ilsley Corporation ("M&I")
Preferred Stock held by Treasury for a purchase price of $1,715,000,000 plus accrued dividends and (ii) the Treasury-held M&I Warrant for an amount equal to $3,250,000, pursuant to the
terms of the agreement between Treasury and BMO entered into on 05/16/2011.
44 Repayment pursuant to Title VII, Section 7001(g) of the American Recovery and Reinvestment Act of 2009 using proceeds received in connection with the institution’s participation in the
Small Business Lending Fund.
45 Repayment pursuant to Title VII, Section 7001(g) of the American Recovery and Reinvestment Act of 2009 - part of the repayment amount obtained from proceeds received in connection with
the institution’s participation in the Small Business Lending Fund.
46 On 11/5/2010, Pierce Commercial Bank, Tacoma, WA, the banking subsidiary of Pierce County Bancorp, was closed by the Washington Department of Financial Institutions, and the Federal
Deposit Insurance Corporation (FDIC) was named Receiver.
47 On 11/12/2010, Tifton Banking Company, Tifton, GA, was closed by the Georgia Department of Banking & Finance, and the Federal Deposit Insurance Corporation (FDIC) was named
Receiver.
48 On 3/11/2011, Legacy Bank, Milwaukee, WI, the banking subsidiary of Legacy Bancorp, Inc., was closed by the State of Wisconsin Department of Financial Institutions, and the Federal
Deposit Insurance Corporation (FDIC) was named Receiver.
49 On 4/15/2011, Superior Bank, Birmingham, AL, the banking subsidiary of Superior Bancorp Inc., was closed by the Office of Thrift Supervision, and the Federal Deposit Insurance Corporation
(FDIC) was named Receiver.
50 On 7/15/2011, First Peoples Bank, Port Saint Lucie, Florida, the banking subsidiary of FPB Bancorp, Inc., was closed by the Florida Office of Financial Regulation, and the Federal Deposit
Insurance Corporation (FDIC) was named Receiver.
51 On 7/15/2011, One Georgia Bank, Atlanta, GA was closed by the State of Georgia Department of Banking & Finance, and the Federal Deposit Insurance Corporation (FDIC) was named
Receiver.
52 On 7/29/2011, Integra Bank, National Association, Evansville, Indiana, the banking subsidiary of Integra Bank Corporation, was closed by the Office of the Comptroller of the Currency, which
appointed the Federal Deposit Insurance Corporation (FDIC) as receiver.
53 On 10/21/2011, Treasury completed the exchange of all FNB United Corp. ("FNB United") preferred stock and warrants held by Treasury for 108,555,303 shares of FNB United common
stock and an amended and restated warrant, pursuant to the terms of the agreement between Treasury and FNB United entered into on 08/12/2011.
54 As a result of the acquisition of Berkshire Bancorp, Inc. (the acquired company) by Customers Bancorp, Inc. (the acquiror), the preferred stock and exercised warrants issued by the acquired
company on 6/12/2009 were exchanged for a like amount of securities of the acquiror plus accrued and previously unpaid dividends, pursuant to the terms of an agreement among Treasury,
the acquired company and the acquiror entered into on 9/16/2011.
55 On 9/23/2011, Citizens Bank of Northern California, Nevada City, California, the banking subsidiary of Citizens Bancorp, was closed by the California Department of Financial Institutions,
which appointed the Federal Deposit Insurance Corporation (FDIC) as receiver.
56 Repayment pursuant to Title VII, Section 7001(g) of the American Recovery and Reinvestment Act of 2009 in connection with the institution’s participation in the Small Business Lending
Fund, which occurred at a later date.
57 On 10/14/2011, Country Bank, Aledo, Illinois, the banking subsidiary of CB Holding Corp., was closed by the Illinois Department of Financial and Professional Regulation - Division of Banking,
which appointed the Federal Deposit Insurance Corporation (FDIC) as receiver.
58 As a result of a reincorporation transaction whereby Crescent Financial Corporation (CFC) was merged into Crescent Financial Bancshares, Inc. (CFB), the preferred stock and warrant
issued by CFC on 1/9/2009 were exchanged for a like amount of securities of CFB, pursuant to the terms of an agreement among Treasury, CFC and CFB entered into on 11/15/2011.
34
Footnote
Footnote Description
59 As a result of the acquisition of Center Financial Corporation by BBCN Bancorp, Inc. (formerly Nara Bancorp, Inc.), the preferred stock and warrant issued by Center Financial Corporation
were exchanged for a like amount of securities of BBCN Bancorp, Inc., pursuant to the terms of an agreement among Treasury, Center Financial Corporation, and BBCN Bancorp, Inc.
entered into on 11/30/2011.
60 On 1/3/2012, Treasury completed (i) the sale to F.N.B. Corporation (“F.N.B.”) of all of the preferred stock that had been issued to Treasury by Parkvale Financial Corporation (“Parkvale”) for a
purchase price of $31,762,000 plus accrued dividends and (ii) the exchange of the Parkvale warrant held by Treasury for a like F.N.B. warrant, pursuant to the terms of the agreement
between Treasury and F.N.B. entered into on 12/29/2011 in connection with the merger of Parkvale and F.N.B. effective 01/01/2012.
61 As a result of the acquisition of State Bancorp, Inc. (the acquired company) by Valley National Bancorp (the acquiror), the warrant issued by the acquired company on 12/5/2008 was
exchanged for a like security of the acquiror, pursuant to the terms of an agreement among Treasury, the acquired company and the acquiror entered into on 1/1/2012.
62 On 1/27/2012, pursuant to the terms of the merger of Regents Bancshares, Inc. (“Regents”) with Grandpoint Capital, Inc., Treasury received $13,214,858.00 (representing the par amount
together with accrued and unpaid dividends thereon) in respect of the preferred stock (including that received from the exercise of warrants) that had been issued to Treasury by Regents.
63 On 1/27/2012, Tennessee Commerce Bank, Franklin, TN, the banking subsidiary of Tennessee Commerce Bancorp, Inc., was closed by the Tennessee Department of Financial Institutions,
and the Federal Deposit Insurance Corporation (FDIC) was named Receiver.
64 On 2/10/2012, SCB Bank, Shelbyville, Indiana, the banking subsidiary of Blue River Bancshares, Inc., was closed by the Office of the Comptroller of the Currency, which appointed the
Federal Deposit Insurance Corporation (FDIC) as receiver.
65 On 2/10/2012, Treasury entered into an agreement with Broadway Financial Corporation to exchange Treasury’s $15,000,000 of preferred stock for common stock. The exchange is subject
to the fulfillment by Broadway Financial Corporation of certain conditions, including the satisfactory completion of a capital plan.
66 On 4/20/2012, Fort Lee Federal Savings Bank, FSB, Fort Lee, New Jersey, was closed by the Office of the Comptroller of the Currency, which appointed the Federal Deposit Insurance
Corporation (FDIC) as receiver.
67 As a result of the acquisition of Community Holding Company of Florida, Inc. (the acquired company) by Community Bancshares of Mississippi, Inc. (the acquiror), the preferred stock and
exercised warrants issued by the acquired company on 2/6/2009 were exchanged for a like amount of securities of the acquiror, pursuant to the terms of an agreement among Treasury, the
acquired company and the acquiror entered into on 7/19/2012.
68 On 7/13/2012, Glasgow Savings Bank, Glasgow, MO, the banking subsidiary of Gregg Bancshares, Inc. , was closed by the Missouri Division of Finance, which appointed the Federal Deposit
Insurance Corporation (FDIC) as receiver.
69 On 7/27/2012, Treasury entered into an agreement with Pinnacle Bank Holding Company, Inc. (“Pinnacle”) pursuant to which Treasury agreed to sell its CPP preferred stock back to Pinnacle
at a discount subject to the satisfaction of the conditions specified in the agreement.
70 On 10/19/2012, GulfSouth Private Bank, Destin, Florida, was closed by the Florida Office of Financial Regulation, which appointed the Federal Deposit Insurance Corporation (FDIC) as
receiver.
71 On 10/19/2012, Excel Bank, Sedalia, Missouri, the banking subsidiary of Investors Financial Corporation of Pettis County, Inc., was closed by the Missouri Division of Finance, which
appointed the Federal Deposit Insurance Corporation (FDIC) as receiver.
72 On 10/25/2012, pursuant to the terms of the merger of First Community Bancshares, Inc. ("First Community") and Equity Bancshares, Inc. ("Equity"), Treasury received a like amount of
preferred stock and exercised warrants from Equity in exchange for Treasury's original investment in First Community, plus accrued and unpaid dividends, pursuant to a placement agency
agreement executed on 10/23/2012.
73 On 10/29/2012, First Place Financial Corp. filed for Chapter 11 protection in the U.S. Bankruptcy Court for the District of Delaware.
35
Footnote
Footnote Description
74 On 2/22/2013, Treasury completed the exchange of its Standard Bancshares, Inc. preferred stock for common stock, pursuant to an exchange agreement, dated as of 11/5/2012, with
Standard Bancshares, Inc., and immediately sold the resulting Standard Bancshares, Inc. common stock, pursuant to securities purchase agreements, each dated as of 11/5/2012, with W
Capital Partners II, L.P., Trident SBI Holdings, LLC, PEPI Capital, LP, LCB Investment, LLC, Cohesive Capital Partners, L.P., and Athena Select Private Investment Fund LLC.
75 On 11/2/2012, Citizens First National Bank, Princeton, IL, the banking subsidiary of Princeton National Bancorp, was closed by the Office of the Comptroller of the Currency, and the Federal
Deposit Insurance Corporation (FDIC) was named Receiver.
76 On 11/13/2012, Treasury entered into an agreement with Community Financial Shares, Inc. (“CFS”) pursuant to which Treasury agreed to sell its CPP preferred stock back to CFS at a
discount subject to the satisfaction of the conditions specified in the agreement.
77 In connection with the merger of Fidelity Bancorp, Inc. (“Fidelity”) and WesBanco, Inc. (“WesBanco”) effective 01/01/2012, Treasury (i) sold to WesBanco all of the preferred stock that had
been issued by Fidelity to Treasury for a purchase price of $7,000,000 plus accrued dividends and (ii) exchanged the Fidelity warrant held by Treasury for a like WesBanco warrant, pursuant
to the terms of an agreement among Treasury and WesBanco entered into on 11/28/2012.
78 On 11/30/12, Western Reserve Bancorp, Inc. was acquired by an affiliate of Westfield Bancorp, Inc. Pursuant to the terms of the merger, each outstanding share of Series A and Series B
preferred stock issued to Treasury was redeemed for the respective principal amount together with accrued and unpaid dividends thereon.
79 On 2/20/2013, Treasury sold its CPP preferred stock and warrant issued by First Sound Bank (“First Sound”) back to First Sound for an aggregate purchase price of $3,700,000, pursuant to
the terms of the agreement between Treasury and First Sound entered into on 11/30/2012.
80 On 4/9/2013, Treasury sold its CPP preferred stock and warrant issued by PremierWest Bancorp (“PremierWest”) pursuant to an agreement with PremierWest and Starbuck Bancshares, Inc.
(“Starbuck”) entered into on 12/11/2012.
81 In connection with the merger of Community Financial Corporation (“Community Financial”) and City Holding Company (“City Holding”) effective 1/09/13, Treasury (i) sold to City Holding all of
the preferred stock that had been issued by Community Financial to Treasury for a purchase price of $12,643,000 plus accrued dividends and (ii) exchanged the Community Financial warrant
held by Treasury for a like City Holding warrant, pursuant to the terms of an agreement among Treasury and City Holding entered into on 1/09/13.
82 On 1/29/2013, Treasury executed a placement agency agreement pursuant to which Treasury agreed to sell 9,950 shares of Coastal Banking Company, Inc. Preferred stock at $815.00 per
share (less a placement agent fee) for net proceeds of $8,028,157.50. On 2/6/2013, the placement agent notified Coastal Banking Company, Inc. that, pursuant to the placement agency
agreement, it was terminating the transaction and, therefore, Treasury did not receive any proceeds or pay any fees in connection with the transaction.
83 On 2/15/2013, Treasury sold its CPP preferred stock and warrant issued by BancTrust Financial Group, Inc. (“BancTrust”) pursuant to an agreement with BancTrust and Trustmark
Corporation (“Trustmark”) entered into on 02/11/2013.
84 On 8/14/2013, Treasury sold its CPP preferred stock issued by Florida Bank Group, Inc. (“FBG”) back to FBG for an aggregate purchase price of $8,000,000, pursuant to the terms of the
agreement between Treasury and FBG entered into on 2/12/13.
85 On 2/15/2013, pursuant to the terms of the merger of Pacific International Bancorp, Inc. (“Pacific International”) with BBCN Bancorp, Inc. (“BBCN”), Treasury received $7,474,619.97
(representing the par amount together with accrued and unpaid dividends thereon) in respect of the preferred stock that had been issued to Treasury by Pacific International. Treasury
exchanged its Pacific International warrant for an equivalent warrant issued by BBCN.
86 On 4/12/2013, Treasury completed (i) the sale of its CPP preferred in Citizens Republic Bancorp, Inc. (Citizens Republic) to FirstMerit Corporation (FirstMerit) and (ii) the exchange of its
warrant in Citizens Republic for a warrant issued by FirstMerit, pursuant to a securities purchase agreement, dated as of 2/19/13, among Treasury, FirstMerit and Citizens Republic.
87 On 4/11/2013, Treasury completed the exchange of its First Security Group, Inc. (FSGI) preferred stock for common stock, pursuant to an exchange agreement, dated as of 2/25/2013,
between Treasury and FSGI, and sold the resulting FSGI common stock, pursuant to securities purchase agreements, each dated as of 4/9/2013, between Treasury and the purchasers party
thereto.
36
Footnote
Footnote Description
88 On 3/19/2013, Treasury exercised its warrant on a cashless basis and received (i) 186,589 shares of common stock and (ii) $71.62 in cash in lieu of fractional shares. Treasury sold such
shares of common stock on 3/19/2013.
89 As a result of the acquisition of ECB Bancorp, Inc. by Crescent Financial Bancshares, Inc., the preferred stock and warrant issued by ECB Bancorp, Inc. were exchanged for a like amount of
securities of Crescent Financial Bancshares, Inc., pursuant to the terms of an agreement among Treasury, ECB Bancorp, Inc., and Crescent Financial Bancshares, Inc. entered into on
4/1/2013.
90 As a result of the merger of Annapolis Bancorp, Inc. into F.N.B. Corporation, the warrant issued by Annapolis Bancorp, Inc. was exchanged for a like warrant issued by F.N.B. Corporation,
pursuant to the terms of an agreement among Treasury, Annapolis Bancorp, Inc., and F.N.B. Corporation entered into on 4/6/2013.
91 On 04/05/2013, Gold Canyon Bank, Gold Canyon, Arizona was closed by the Arizona Department of Financial Institutions, and the Federal Deposit Insurance Corporation (FDIC) was named
Receiver.
92 On 04/09/2013, Indiana Bank Corp. filed for Chapter 11 protection in the U.S. Bankruptcy Court for the Southern District of Indiana.
93 On 7/17/13, Treasury entered into a securities purchase agreement with Central Virginia Bankshares, Inc. (CVB) and C&F Financial Corporation (C&F) pursuant to which Treasury agreed to
sell to C&F the CPP preferred stock and warrant issued by CVB, subject to the conditions specified in such agreement. The sale was completed on 10/01/2013.
94 On 8/12/2013, Anchor BanCorp Wisconsin Inc. ( “Anchor”) filed a voluntary petition for Chapter 11 protection in the U.S. Bankruptcy Court for the Western District of Wisconsin to implement
a “pre-packaged” Plan of Reorganization in order to facilitate the restructuring of Anchor. On 9/27/ 2013, the Plan of Reorganization became effective in accordance with its terms, pursuant to
which (i) Treasury’s preferred stock was exchanged for 60,000,000 shares of common stock (the “Common Stock”) and (ii) Treasury’s warrant was cancelled. On 9/27/2013, Treasury sold
the Common Stock to purchasers pursuant to securities purchase agreements entered into on 9/19/2013.
95 On 7/5/2013, Rogers Bancshares, Inc. filed for Chapter 11 protection in the U.S. Bankruptcy Court for the Eastern District of Arkansas.
96 On 8/22/2013, Treasury exchanged its preferred stock in Broadway Financial Corporation for 10,146 shares of common stock equivalent representing (i) 50% of the liquidation preference of
the preferred stock, plus (ii) 100% of previously accrued and unpaid dividends on the preferred stock ($2,646,000). The common stock equivalent will be converted to common stock upon the
receipt of certain shareholder approvals.
97 This institution has entered into bankruptcy or receivership. For a full list of institutions that have entered bankruptcy or receivership and Treasury's remaining investments, reference
appendices B and C in the section titled “Capital Purchase Program Institutions” in the most recent report to congress found on Treasury’s website: http://www.treasury.gov/initiatives/financialstability/reports/Pages/Monthly-Report-to-Congress.aspx.
98 On 10/30/2013, Treasury entered into an agreement with Monarch Community Bancorp, Inc. (Monarch) to exchange Treasury's CPP warrant and $6,785,000 of preferred stock for common
stock. The exchange was subject to the fulfillment by Monarch of certain conditions, including the satisfactory completion of a capital plan. On 11/15/2013, the exchange of the CPP warrant
and preferred stock for common stock was completed and Treasury sold such common stock to purchasers pursuant to securities purchase agreements dated as of 11/15/2013.
99 On 12/5/2013, Treasury's 10,146 shares of common stock equivalent in Broadway Financial converted to 10,146,000 shares of common stock.
100 On 12/13/2013, Texas Community Bank, National Association, The Woodlands, Texas, the banking subsidiary of TCB Holding Company, was closed by the Office of the Comptroller of the
Currency, which appointed the Federal Deposit Insurance Corporation (FDIC) as receiver.
101 As a result of a reincorporation merger of Community Bankers Trust Corporation, a Delaware corporation (CBTC Delaware) into Community Bankers Trust Corporation, a Virginia corporation
(CBTC Virginia), the outstanding preferred stock and warrant issued by CBTC Delaware were exchanged for a like amount of securities issued by CBTC Virginia, pursuant to the terms of an
agreement among Treasury, CBTC Delaware and CBTC Virginia entered into on 1/1/14.
102 On 10/15/13, Treasury entered into a securities purchase agreement with First-Citizens Bank & Trust Company (FCBTC) and 1st Financial Services Corporation (FFSC) pursuant to which
Treasury agreed to sell to FCBTC the CPP preferred stock and warrant issued by FFSC, subject to the conditions specified in such agreement. The sale was completed on 12/31/2013.
37
Footnote Description
Footnote
103 On 1/31/2014, Syringa Bank, Boise, Idaho, the banking subsidiary of Syringa Bancorp, was closed by the Idaho Department of Finance, which appointed the Federal Deposit Insurance
Corporation (FDIC) as receiver.
104 On 4/1/2014, pursuant to the terms of the merger of Alaska Pacific Bancshares, Inc. with Northrim Bancorp, Inc., Treasury received $2,370,908.26 for the warrants that had been issued to
Treasury by Alaska Pacific Bancshares, Inc.
105 On 4/18/2014, Treasury entered into an agreement with Bank of the Carolinas Corporation (“BCAR”) pursuant to which Treasury agreed to sell its CPP preferred stock and warrant back to
BCAR at a discount subject to the satisfaction of the conditions specified in the agreement. The sale was completed on 7/16/2014.
106 On 4/24/2014, Treasury sold all of its preferred stock issued by Bankers’ Bank of the West Bancorp, Inc. (BBW) to private investors for total proceeds of $13.5million, pursuant to securities
purchase agreements dated as of April 21, 2014. BBW paid all accrued and unpaid dividends on the preferred stock as of April 24, 2014.
107 On 4/25/2014, Treasury entered into a securities purchase agreement with Provident Community Bankshares, Inc. (PCBS) and Park Sterling Corporation (Park Sterling) pursuant to which
Treasury agreed to sell to Park Sterling the CPP preferred stock and warrant issued by PCBS, subject to the conditions specified in such agreement. The sale was completed on 4/30/2014.
108 On 4/24/2014, Idaho Bancorp filed for Chapter 11 protection in the U.S. Bankruptcy Court for the District of Idaho. On 11/25/2014, the bankruptcy court for the District of Idaho confirmed
Idaho Bancorp’s amended plan of reorganization. On 8/5/2015 and 9/29/2015, UST received net distributions of $427,844.29 and $3,522.87, respectively, from Idaho Bancorp (after payment
to the Department of Justice of a 3% litigation fee).
109 On 4/30/2014, Treasury completed the exchange of its Northern States Financial Corporation preferred stock for common stock, pursuant to an exchange agreement, dated as of 4/29/2014,
with Northern States Financial Corporation, and immediately sold the resulting Northern States Financial Corporation common stock, pursuant to securities purchase agreements, each dated
as of 4/29/14, with Blue Pine Financial Opportunities Fund II, LP, EJF Sidecar Fund, Series LLC, Endeavour Regional Bank Opportunities Fund L.P., Endeavour Regional Bank Opportunities
Fund II L.P., Hot Creek Investors, L.P.,JCSD Partners, LP, and PRB Investors, LP.
110 On 5/23/2014 Treasury completed the sale of its CommunityOne Bancorp common stock in an underwritten public offering.
111 On 5/30/2014, Treasury entered into a securities purchase agreement with Highlands Independent Bancshares, Inc. ("Highlands") and HCBF Holding Company, Inc. ("HCBF") pursuant to
which Treasury agreed to sell to HCBF the CPP preferred stock issued by Highlands, subject to the conditions specified in such agreement. The sale was completed on 10/24/2014.
112 On 6/30/2014, BCB Holding Company, Inc. (the “Institution”) repurchased their preferred and warrant preferred shares from Treasury and funds were wired from the Institution to the Bank of
New York Mellon (BNYM) for the benefit of Treasury. The repurchase was finalized after the close of business on 6/30/14 and the funds were subsequently transferred from BNYM to
Treasury on 7/1/2014.
113 On 8/28/2014, Treasury entered into an agreement with Central Bancorp, Inc. and Hanmi Financial Corporation, in connection with a merger, pursuant to which Treasury agreed to sell its
Central Bancorp, Inc. CPP preferred stock (including warrant preferred stock) to Hanmi Financial Corporation for (i) $23,625,000, plus (ii) all accrued and unpaid dividends, subject to the
satisfaction of the conditions specified in the agreement. The sale was completed on 8/29/2014.
114 On 10/17/2014, Treasury completed the exchange of its Regent Bancorp, Inc. preferred stock and warrant-preferred stock for common stock, pursuant to an exchange agreement, dated as
of 10/16/2014, with Regent Bancorp, Inc., and immediately sold the resulting Regent Bancorp, Inc. common stock to purchasers pursuant to securities purchase agreements dated as of
10/16/2014.
115 On 10/30/2014, Treasury entered into an agreement with Columbia Banking System, Inc. (Columbia) pursuant to which Treasury agreed to sell its warrant in Intermountain Community
Bancorp to Columbia subject to the satisfaction of the conditions specified in the agreement. The sale was completed on 10/31/2014.
116 The subsidiary bank of Rising Sun Bancorp, NBRS Financial, was closed by the Maryland Office of the Commissioner of Financial Regulation, and the FDIC was named Receiver on Friday,
10/17/2014.
117 The subsidiary bank of Western Community Bancshares, Inc., Frontier Bank, was closed by the Office of the Comptroller of the Currency, and the FDIC was named Receiver on Friday,
11/7/2014.
38
Footnote Description
Footnote
118 On 9/8/2014, Treasury gave Credit Suisse Securities (USA) LLC discretionary authority, as its sales agent, to sell subject to certain parameters shares of common stock from time to time
during the period ending on 12/7/2014. Completion of the sale under this authority occurred on December 5, 2014.
119 On 12/10/2014, Treasury sold all of its preferred stock issued by NCAL Bancorp to purchasers for total proceeds of $3.9 million, pursuant to a securities purchase agreement dated as of
November 25, 2014.
120 As a result of the merger of Farmers & Merchants Bancshares, Inc. into Allegiance Bancshares, Inc., the outstanding preferred stock and warrant preferred stock issued by Farmers &
Merchants Bancshares, Inc. was exchanged for a like amount of securities issued by Allegiance Bancshares, Inc., pursuant to the terms of an agreement among Treasury, Farmers &
Merchants Bancshares, Inc. and Allegiance Bancshares, Inc., entered into on 1/1/2015.
121 On 12/11/2014, Treasury gave Credit Suisse Securities (USA) LLC discretionary authority, as its sales agent, to sell subject to certain parameters shares of common stock from time to time
during the period ending on 3/8/2015. Completion of the sale under this authority occurred on 3/6/2015.
122 On 03/17/2015, Treasury sold all of its preferred stock issued by U.S. Century Bank to purchasers for total proceeds of $12.3 million, pursuant to a securities purchase agreement dated as of
March 17, 2015.
123 On 7/15/2015, Treasury entered into an agreement with Suburban Illinois Bancorp, Inc. (Suburban), pursuant to which Treasury agreed to sell its CPP senior subordinated securities to
Suburban for (i) $15,750,000, plus (ii) all accrued and unpaid dividends through 4/1/2015 subject to the conditions specified in such agreement. This transaction was in conjunction with a
merger between Suburban and Wintrust Financial Corporation. The sale was completed on 7/16/2015.
124 On 8/4/2015, Treasury entered into an agreement with City National Bancshares Corporation (the “Company”) pursuant to which Treasury agreed to sell its CPP preferred stock back to the
Company at a discount subject to the satisfaction of the conditions specified in the agreement. The sale was completed on 8/7/2015.
125 On 3/4/2011, Treasury completed the sale to Community Bancorp LLC (“CBC”) of all Preferred Stock and Warrants issued by Cadence Financial Corporation (“Cadence”) to Treasury for an
aggregate purchase price of $39,014,062.50, pursuant to the terms of the agreement between Treasury and CBC entered into on 10/29/2010.
126 On 8/27/2015, Treasury entered into an agreement with Patapsco Bancorp, Inc. and Howard Bancorp, Inc., in connection with a merger pursuant to which Treasury agreed to sell its Patapsco
Bancorp, Inc. CPP preferred stock (including warrant preferred stock) to Howard Bancorp, Inc. for (i) $6,300,000, plus (ii) all accrued and unpaid dividends, subject to the satisfaction of the
conditions specified in the agreement. The sale was completed on 8/28/2015.
127 On 9/18/2015, Treasury entered into an agreement with Goldwater Bank, N.A. and Kent Wiechert, pursuant to which Treasury agreed to sell all of its CPP preferred stock issued by Goldwater
Bank, N.A.to Wiechert for total proceeds of $1,348,000 subject to the satisfaction of conditions specified in the agreement. The sale was completed on 9/21/2015.
128 On 10/2/2015, Treasury completed the exchange of its Capital Commerce Bancorp, Inc. preferred stock and warrant-preferred stock for common stock pursuant to an exchange agreement of
the same date with Capital Commerce Bancorp, Inc. The consideration for that exchange included accrued and unpaid dividends through June 30, 2015. As part of the exchange
transaction, Treasury immediately sold the resulting Capital Commerce Bancorp, Inc. common stock to purchasers pursuant to securities purchase agreements, each dated as of 10/2/2015,
with the purchaser parties thereto.
129 On 11/13/2015, Treasury received $3.88 million from the Department of Justice as a payment related to the United States’ $4.00 million False Claims Act action against the estate and trusts
of the late Layton P. Stuart, former owner, president, and Chief Executive Officer of One Financial Corporation.
130 On 12/23/2015, Treasury completed the exchange of its CalWest Bancorp preferred stock and warrant-preferred stock for common stock pursuant to an exchange agreement of the same
date with CalWest Bancorp. As part of that transaction, Treasury immediately sold the resulting CalWest Bancorp common stock to purchasers pursuant to securities purchase agreements,
each dated as of 12/23/2015, with the purchaser parties thereto.
131 On 2/29/2016, Treasury entered into an agreement with HCSB (the “Company”) pursuant to which Treasury agreed to sell its CPP preferred stock back to the Company at a discount subject
to the satisfaction of the conditions specified in the agreement. The sale was completed on 4/11/2016.
132 Sonoma Valley Bancorp was liquidated and dissolved pursuant to the provision of the California Corporations Code. As part of that liquidation and dissolution, UST received a distribution of
$150,000 from Sonoma Valley Bancorp on 6/15/2016.
39
Footnote Description
Footnote
133 On 6/30/2016, Treasury completed the exchange of its Liberty Shares, Inc. preferred stock and warrant-preferred stock for common stock pursuant to an exchange agreement of the same
date with Liberty Shares, Inc. As part of that transaction, Treasury immediately sold the resulting Liberty Shares, Inc. common stock to purchasers pursuant to securities purchase
agreements, each dated as of 6/30/2016, with the purchaser parties thereto.
134 On 7/1/2016, Treasury completed the sale to United Community Banks, Inc. (UCBI) of all of its CPP preferred stock and associated warrants issued by Tidelands Bancshares, Inc. (Tidelands)
to UCBI for total proceeds of $8,984,227 subject to the satisfaction of conditions specified in the agreement. This transaction was in conjunction with a merger between Tidelands and UCBI.
135 On 6/28/2016, the United States completed a settlement of several lawsuits related to Treasury’s investment in One Financial Corporation (OFC). As a result of that settlement, it received
344,227 shares of OFC common stock on 6/23/2016.
136 On 12/21/2016, Treasury entered into an agreement with Broadway Financial Corporation, First Republic Bank, and Broadway Federal Bank, f.s.b Employee Ownership Trust, pursuant to
which Treasury agreed to sell part of its CPP common stock to the three entities for total proceeds of $7,477,547.40 subject to the satisfaction of conditions specified in the agreement. The
transaction was completed on December 22, 2016.
137 On 12/28/2016, Treasury entered into an agreement with Allied First Bancorp (the “Company”) pursuant to which Treasury agreed to sell its CPP preferred stock back to the Company at a
discount subject to the satisfaction of the conditions specified in the agreement. The sale was completed on 12/28/2016.
138 On 2/28/2017, Treasury completed the exchange of its Citizens Commerce Bancshares, Inc. preferred stock and warrant-preferred stock for common stock pursuant to an exchange
agreement of the same date with Citizens Commerce Bancshares, Inc. As part of that transaction, Treasury immediately sold the resulting Citizens Commerce Bancshares, Inc. common
stock to purchasers pursuant to securities purchase agreements, each dated as of 2/28/2017, with the purchaser parties thereto.
139
140
141
142
On 5/8/2017, Treasury obtained 344,577 shares of One Bank & Trust common shares in an Execution Sale conducted by the United States Marshal’s Service.
On 5/15/2017, Treasury sold 10,291,553 shares of First BanCorp common stock at $5.61 per share for total proceeds of $57,735,612.
On 5/31/17, Treasury received a court ordered $100.00 restitution check from a former executive of United Commercial Bank.
On 6/28/2017, Treasury entered into agreements with Broadway Financial Corporation, Pacific Western Bank and Community Bank, pursuant to which Treasury agreed to sell part of its CPP
common stock to Pacific Western Bank and Community Bank for total proceeds of $3,480,975 subject to the satisfaction of conditions specified in the agreement. The transaction was
completed on 6/29/2017.
143 On 6/30/2017, Cecil Bancorp, Inc. filed for Chapter 11 protection in the U.S. Bankruptcy Court for the District of Maryland (Baltimore).
144 On 9/7/2017, Treasury completed the exchange of its Grand Mountain Bancshares, Inc. preferred stock for common stock pursuant to an exchange agreement of the same date with Grand
Mountain Bancshares, Inc.. As part of that transaction, Treasury immediately sold the resulting Grand Mountain Bancshares, Inc. common stock to purchasers pursuant to securities
purchase agreements, each dated as of 9/7/2017, with the purchaser parties thereto.
145 On 9/21/2017, Treasury entered into agreements with Broadway Financial Corporation and Pacific Premier Bank, pursuant to which Treasury agreed to sell part of its CPP common stock to
Pacific Premier Bank for total proceeds of $1,877,894.30 subject to the satisfaction of conditions specified in the agreement. The transaction was completed on 9/21/2017.
146 Pursuant to the 10/11/2017 Confirmation Order of the United States Bankruptcy Court for the District of Maryland, on 10/26/2017 Treasury completed the exchange of its Cecil Bancorp, Inc.
(Cecil) preferred stock for common stock pursuant to an exchange agreement of the same date with Cecil. As part of that transaction, Treasury immediately (i) sold the resulting Cecil
common stock to purchasers pursuant to securities purchase agreements, each dated as of 10/26/2017, with the purchaser parties thereto and (ii) cancelled Treasury’s warrant.
40
CAPITAL PURCHASE PROGRAM - CITIGROUP, INC.
COMMON STOCK DISPOSITION
Date
4/26/2010 5/26/2010
6
Pricing Mechanism
1
5/26/2010 6/30/2010
2
7/23/2010 9/30/2010
3
10/19/2010 - 4
12/6/2010
12/6/2010
5
Number of Shares
Proceeds
7
$4.1217
1,500,000,000 $
6,182,493,158
$3.8980
1,108,971,857 $
4,322,726,825
$3.9090
1,500,000,000 $
5,863,489,587
$4.2609
1,165,928,228 $
4,967,921,811
$4.3500
2,417,407,607
Total Proceeds:
$
10,515,723,090
$31,852,354,471
1/ On April 26, 2010, Treasury gave Morgan Stanley & Co. Incorporated (Morgan Stanley) discretionary authority, as its sales agent, to sell subject to certain parameters up to 1,500,000,000 shares of common
stock from time to time during the period ending on June 30, 2010 (or upon completion of the sale). Completion of the sale under this authority occurred on May 26, 2010.
2/ On May 26, 2010, Treasury gave Morgan Stanley & Co. Incorporated (Morgan Stanley) discretionary authority, as its sales agent, to sell subject to certain parameters up to 1,500,000,000 shares of common
stock from time to time during the period ending on June 30, 2010 (or upon completion of the sale). Completion of the sale under this authority occurred on June 30, 2010.
3/ On July 23, 2010, Treasury gave Morgan Stanley & Co. Incorporated (Morgan Stanley) discretionary authority, as its sales agent, to sell subject to certain parameters up to 1,500,000,000 shares of common stock
from time to time during the period ending on September 30, 2010 (or upon completion of the sale). Completion of the sale under this authority occured on September 30, 2010.
4/ On October 19, 2010, Treasury gave Morgan Stanley & Co. Incorporated (Morgan Stanley) discretionary authority, as its sales agent, to sell subject to certain parameters up to 1,500,000,000 shares of common
stock from time to time during the period ending on December 31, 2010 (or upon completion of the sale), which plan was terminated on December 6, 2010.
5/ On December 6, 2010, Treasury commenced an underwritten public offering of its remaining 2,417,407,607 shares. Closing of the offering is subject to the fulfillment of certain closing conditions.
6/ The price set forth is the weighted average price for all sales of Citigroup, Inc. common stock made by Treasury over the course of the corresponding period.
7/ Amount represents the gross proceeds to Treasury.
41
*Investment Status Definition Key
COMMUNITY DEVELOPMENT CAPITAL INITIATIVE
Full investment outstanding: Treasury's full investment is still outstanding
Redeemed – institution has repaid Treasury’s investment
Sold – by auction, an offering, or through a restructuring
Exited bankruptcy/receivership - Treasury has no outstanding investment
Currently not collectible - investment is currently not collectible; therefore there is no outstanding investment and a corresponding (Realized
Loss) / (Write-off)
In full – all of Treasury’s investment amount
In part – part of the investment is no longer held by Treasury, but some remains
Footnote
26
8
8
8
8
3,4,14
8,11
8
8
8
27
8,10
8
3,6
20
3,5,8,33
3,12
3,4
21
34
8
8
8
3
3,8
3,8
8
3,8
3,17
8
8
28
8
3,8
8
3,4
Institution Name
Alternatives Federal Credit Union
Alternatives Federal Credit Union
American Bancorp of Illinois, Inc.
American Bancorp of Illinois, Inc.
Atlantic City Federal Credit Union
Atlantic City Federal Credit Union
Bainbridge Bancshares, Inc.
Bainbridge Bancshares, Inc.
Bainbridge Bancshares, Inc.
Bancorp of Okolona, Inc.
Bancorp of Okolona, Inc.
BancPlus Corporation
BancPlus Corporation
BankAsiana
BankAsiana
Bethex Federal Credit Union
Bethex Federal Credit Union
Border Federal Credit Union
Border Federal Credit Union
Brewery Credit Union
Brewery Credit Union
Brooklyn Cooperative Federal Credit Union
Brooklyn Cooperative Federal Credit Union
Buffalo Cooperative Federal Credit Union
Butte Federal Credit Union
Butte Federal Credit Union
Carter Federal Credit Union
Carter Federal Credit Union
Carver Bancorp, Inc
CFBanc Corporation
CFBanc Corporation
Citizens Bancshares Corporation
Citizens Bancshares Corporation
Citizens Bancshares Corporation
Citizens Bancshares Corporation
Community Bancshares of Mississippi, Inc.
Community Bancshares of Mississippi, Inc.
Community Bank of the Bay
Community First Guam Federal Credit Union
Community Plus Federal Credit Union
Community Plus Federal Credit Union
Cooperative Center Federal Credit Union
D.C. Federal Credit Union
D.C. Federal Credit Union
East End Baptist Tabernacle Federal Credit Union
Episcopal Community Federal Credit Union
Fairfax County Federal Credit Union
Fairfax County Federal Credit Union
Faith Based Federal Credit Union
Faith Based Federal Credit Union
Fidelis Federal Credit Union
Fidelis Federal Credit Union
First American International Corp.
First Choice Bank
First Choice Bank
First Eagle Bancshares, Inc.
First Eagle Bancshares, Inc.
First Legacy Community Credit Union
First Legacy Community Credit Union
First M&F Corporation
First M&F Corporation
First Vernon Bancshares, Inc.
First Vernon Bancshares, Inc.
Freedom First Federal Credit Union
Freedom First Federal Credit Union
Gateway Community Federal Credit Union
Gateway Community Federal Credit Union
Genesee Co-op Federal Credit Union
Genesee Co-op Federal Credit Union
Greater Kinston Credit Union
Greater Kinston Credit Union
Guaranty Capital Corporation
Guaranty Capital Corporation
Hill District Federal Credit Union
Hill District Federal Credit Union
Hope Federal Credit Union
IBC Bancorp, Inc.
City
Ithaca
Ithaca
Oak Brook
Oak Brook
Lander
Lander
Bainbridge
Bainbridge
Bainbridge
Okolona
Okolona
Ridgeland
Ridgeland
Palisades Park
Palisades Park
Bronx
Bronx
Del Rio
Del Rio
Milwaukee
Milwaukee
Brooklyn
Brooklyn
Buffalo
Biggs
Biggs
Springhill
Springhill
New York
Washington
Washington
Atlanta
Atlanta
Atlanta
Atlanta
Brandon
Brandon
Oakland
Hagatna
Rantoul
Rantoul
Berkeley
Washington
Washington
Bridgeport
Los Angeles
Fairfax
Fairfax
Oceanside
Oceanside
New York
New York
Brooklyn
Cerritos
Cerritos
Hanover Park
Hanover Park
Charlotte
Charlotte
Kosciusko
Kosciusko
Vernon
Vernon
Roanoke
Roanoke
Missoula
Missoula
Rochester
Rochester
Kinston
Kinston
Belzoni
Belzoni
Pittsburgh
Pittsburgh
Jackson
Chicago
State
NY
NY
IL
IL
WY
WY
GA
GA
GA
MS
MS
MS
MS
NJ
NJ
NY
NY
TX
TX
WI
WI
NY
NY
NY
CA
CA
LA
LA
NY
DC
DC
GA
GA
GA
GA
MS
MS
CA
GU
IL
IL
CA
DC
DC
CT
CA
VA
VA
CA
CA
NY
NY
NY
CA
CA
IL
IL
NC
NC
MS
MS
AL
AL
VA
VA
MT
MT
NY
NY
NC
NC
MS
MS
PA
PA
MS
IL
Date
9/24/2010
12/27/2016
9/17/2010
3/1/2017
9/24/2010
9/26/2012
9/24/2010
9/10/2014
1/7/2015
9/29/2010
3/13/2013
9/29/2010
10/18/2016
9/29/2010
10/1/2013
9/29/2010
11/18/2015
9/29/2010
10/15/2014
9/24/2010
10/3/2012
9/30/2010
12/27/2016
9/24/2010
9/24/2010
12/31/2014
9/29/2010
2/6/2013
8/27/2010
9/17/2010
12/20/2016
8/13/2010
9/17/2010
12/30/2016
10/4/2017
9/29/2010
10/11/2016
9/29/2010
9/24/2010
9/29/2010
12/20/2016
9/24/2010
9/29/2010
12/30/2016
9/29/2010
9/29/2010
9/24/2010
9/13/2017
9/29/2010
8/19/2015
9/29/2010
10/14/2015
8/13/2010
9/24/2010
5/1/2013
9/17/2010
3/25/2016
9/29/2010
4/2/2014
9/29/2010
8/30/2013
9/29/2010
11/29/2016
9/29/2010
6/12/2013
9/24/2010
10/17/2012
9/17/2010
12/27/2016
9/29/2010
4/10/2012
7/30/2010
12/21/2016
9/29/2010
7/26/2017
9/17/2010
9/10/2010
Original Investment Type1
Subordinated Debentures
Exchange From CPP
Total Cash Back2
Investment Status*
$2,334,902.34 Sold, in full
Original Investment Amount
$2,234,000.00
Outstanding Investment
$0.00
Subordinated Debentures
$5,457,000.00
$0.00
$6,549,066.96 Redeemed, in Full
Subordinated Debentures
$2,500,000.00
$0.00
$2,600,277.77 Redeemed, in Full
Preferred Stock
$3,372,000.00
$0.00
$3,645,637.33 Redeemed, in Full
Subordinated Debentures
Preferred Stock
$50,400,000.00
Preferred Stock
$3,297,000.00
$0.00
$30,514,000.00
$0.00
$5,250,000.00
$0.00
$3,547,974.96 Redeemed, in Full
$85,045,109.22 Sold, in full
$5,565,583.34 Redeemed, in Full
Subordinated Debentures
$502,000.00
$0.00
$553,566.56 Redeemed, in Full
Subordinated Debentures
$3,260,000.00
$0.00
$3,523,697.78 Redeemed, in Full
Subordinated Debentures
$1,096,000.00
$0.00
$1,140,388.00 Redeemed, in Full
Subordinated Debentures
$300,000.00
$0.00
Subordinated Debentures
Subordinated Debentures
$145,000.00
$1,000,000.00
$145,000.00
$0.00
Subordinated Debentures
Common Stock
Preferred Stock
$18,980,000.00
Preferred Stock
$7,462,000.00
Preferred Stock
$54,600,000.00
Preferred Stock
Subordinated Debentures
Subordinated Debentures
$1,747,000.00
$6,300,000.00
$3,800,000.00
$5,781,000.00
$18,980,000.00
$0.00
$4,379,000.00
$317,450.00 Sold, in full
$20,710.83 Full investment outstanding
$1,085,388.88 Redeemed, in Full
$3,159,350.00 Redeemed, in part
$446,512.41 Full investment outstanding
$6,273,348.50 Sold, in full
$0.00
$13,305,408.94 Sold, in full
$0.00
$57,366,400.00 Sold, in full
$2,313,000.00
$2,650,000.00
$450,000.00
$4,060,000.00
$2,650,000.00
$0.00
$558,475.56 Full investment outstanding
$378,508.33 Full investment outstanding
$471,025.00 Sold, in full
Subordinated Debentures
Subordinated Debentures
$2,799,000.00
$1,522,000.00
$2,799,000.00
$500,000.00
$399,790.50 Full investment outstanding
$1,169,984.56 Sold, in part
Subordinated Debentures
Subordinated Debentures
Subordinated Debentures
$7,000.00
$100,000.00
$8,044,000.00
$7,000.00
$100,000.00
$0.00
$997.89 Full investment outstanding
$14,255.56 Full investment outstanding
$9,165,244.22 Redeemed, in Full
Subordinated Debentures
$30,000.00
$0.00
Subordinated Debentures
Preferred Stock
Preferred Stock
Subordinated Debentures
$14,000.00
$0.00
$32,933.34 Redeemed, in Full
$15,411.67 Redeemed, in Full
$17,000,000.00
$5,146,000.00
$17,000,000.00
$0.00
$7,875,000.00
$0.00
$9,223,112.50 Redeemed, in Full
$0.00
$1,070,166.67 Redeemed, in Full
$0.00
$31,751,666.67 Redeemed, in Full
Subordinated Debentures
$1,000,000.00
Preferred Stock
$30,000,000.00
Preferred Stock
$6,245,000.00
Subordinated Debentures
$9,278,000.00
$2,482,975.79 Full investment outstanding
$5,413,877.89 Redeemed, in Full
$0.00
$6,528,523.06 Sold, in full
$0.00
$9,779,527.44 Redeemed, in Full
$1,725,397.27 Redeemed, in Full
Subordinated Debentures
$1,657,000.00
$0.00
Subordinated Debentures
$300,000.00
$0.00
$316,666.67 Sold, in full
Subordinated Debentures
$350,000.00
$0.00
$360,714.44 Redeemed, in Full
Subordinated Debentures
$14,000,000.00
Subordinated Debentures
Subordinated Debentures
Subordinated Debentures
$4,205,000.00
$0.00
$16,773,983.33 Redeemed, in Full
$100,000.00
$0.00
$113,650.00 Redeemed, in Full
$4,520,000.00
$3,881,000.00
$4,520,000.00
$8,086,000.00
$647,364.44 Full investment outstanding
$1,799,921.14 Full investment outstanding
Capital Repayment / Disposition / Auction
Amount
(Fee)
Shares
Avg. Price
$2,055,280.00
2,234,000
$0.92
$5,457,000.00
5,457,000
$1.00
$2,500,000.00
2,500,000
$1.00
$2,372,000.00
$1,000,000.00
2,372
1,000
$1,000.00
$1,000.00
$3,297,000.00
3,297,000
$1.00
$75,250,020.00
80,914
$930.00
$5,250,000.00
5,250
$1,000.00
$502,000.00
502,000
$1.00
$3,260,000.00
3,260,000
$1.00
$1,096,000.00
1,096,000
$1.00
$280,000.00
300,000
$0.93
(Realized Loss) / (Write-off)
Gain
($178,720.00)
($5,663,980.00)
($20,000.00)
$1,000,000.00
1,000,000
$1.00
$2,500,000.00
2,500,000
$1.00
$5,549,760.00
5,781
$960.00
($231,240.00)
$4,227,049.00
$7,462,000.00
4,379
7,462
$965.30
$1,000.00
($151,951.00)
$50,778,000.00
54,600
$930.00
($3,822,000.00)
$415,000.00
450,000
$0.92
($35,000.00)
$970,900.00
1,022,000
$0.95
($51,100.00)
$8,044,000.00
8,044,000
$1.00
$30,000.00
30,000
$1.00
$14,000.00
14,000
$1.00
$5,146,000.00
5,146
$1,000.00
$7,875,000.00
7,875,000
$1.00
$1,000,000.00
1,000,000
$1.00
$30,000,000.00
30,000
$1,000.00
$5,745,400.00
6,245
$920.00
$9,278,000.00
9,278,000
$1.00
$1,657,000.00
1,657,000
$1.00
$279,000.00
300,000
$0.93
$350,000.00
350,000
$1.00
$14,000,000.00
14,000,000
$1.00
$100,000.00
100,000
$1.00
($499,600.00)
($21,000.00)
42
3,35
8
8
3,8
8
3,4,22
36
3,23
3,5,8
3,24
30
3,7
8
3,8
8,16
8
37
3,8
3,4,15
31
3,4,18
25
8
3,13
3,4,19
8
29
38
3
9
3,8
8
3,4,8
8
8,32
8
BankAsiana
IBW Financial Corporation
IBW Financial Corporation
Independent Employers Group Federal Credit Union
Independent Employers Group Federal Credit Union
Kilmichael Bancorp, Inc.
Kilmichael Bancorp, Inc.
Lafayette Bancorp, Inc.
Lafayette Bancorp, Inc.
Liberty County Teachers Federal Credit Union
Liberty County Teachers Federal Credit Union
Liberty County Teachers Federal Credit Union
Liberty County Teachers Federal Credit Union
Liberty County Teachers Federal Credit Union
Liberty Financial Services, Inc.
Liberty Financial Services, Inc.
Lower East Side People's Federal Credit Union
Lower East Side People's Federal Credit Union
M&F Bancorp, Inc.
M&F Bancorp, Inc.
Mission Valley Bancorp
Mission Valley Bancorp
Mission Valley Bancorp
Neighborhood Trust Federal Credit Union
North Side Community Federal Credit Union
Northeast Community Federal Credit Union
Opportunities Credit Union
PGB Holdings, Inc.
PGB Holdings, Inc.
Phenix Pride Federal Credit Union
Phenix Pride Federal Credit Union
Premier Bancorp, Inc.
Premier Bancorp, Inc.
Prince Kuhio Federal Credit Union / Hawaii Federal Credit Union
Prince Kuhio Federal Credit Union / Hawaii Federal Credit Union
PSB Financial Corporation
PSB Financial Corporation
Pyramid Federal Credit Union
Pyramid Federal Credit Union
Pyramid Federal Credit Union
Renaissance Community Development Credit Union
Renaissance Community Development Credit Union
Santa Cruz Community Credit Union
Santa Cruz Community Credit Union
Security Capital Corporation
Security Capital Corporation
Security Capital Corporation
Security Capital Corporation
Security Federal Corporation
Security Federal Corporation
Shreveport Federal Credit Union
Shreveport Federal Credit Union
Southern Bancorp, Inc.
Southern Bancorp, Inc.
Southern Chautauqua Federal Credit Union
Southern Chautauqua Federal Credit Union
Southside Credit Union
Southside Credit Union
State Capital Corporation
State Capital Corporation
The First Bancshares, Inc.
The First Bancshares, Inc.
The Magnolia State Corporation
The Magnolia State Corporation
The Magnolia State Corporation
Thurston Union of Low-Income People (TULIP) Cooperative Credit Union / Harborstone Credit Union
Thurston Union of Low-Income People (TULIP) Cooperative Credit Union / Harborstone Credit Union
Tongass Federal Credit Union
Tongass Federal Credit Union
Tri-State Bank of Memphis
Tulane-Loyola Federal Credit Union
Union Baptist Church Federal Credit Union
Union Settlement Federal Credit Union
Union Settlement Federal Credit Union
United Bancorporation of Alabama, Inc.
United Bancorporation of Alabama, Inc.
UNITEHERE Federal Credit Union(Workers United Federal Credit Union)
UNITEHERE Federal Credit Union(Workers United Federal Credit Union)
University Financial Corp, Inc.
University Financial Corp, Inc.
UNO Federal Credit Union
UNO Federal Credit Union
Vigo County Federal Credit Union
Vigo County Federal Credit Union
Vigo County Federal Credit Union
Vigo County Federal Credit Union
Virginia Community Capital, Inc.
Virginia Community Capital, Inc.
Palisades Park
Washington
Washington
Hilo
Hilo
Kilmichael
Kilmichael
Oxford
Oxford
Liberty
Liberty
Liberty
Liberty
Liberty
New Orleans
New Orleans
New York
New York
Durham
Durham
Sun Valley
Sun Valley
Sun Valley
New York
Chicago
San Francisco
Burlington
Chicago
Chicago
Phenix City
Phenix City
Wilmette
Wilmette
Honolulu
Honolulu
Many
Many
Tucson
Tucson
Tucson
Somerset
Somerset
Santa Cruz
Santa Cruz
Batesville
Batesville
Batesville
Batesville
Aiken
Aiken
Shreveport
Shreveport
Arkadelphia
Arkadelphia
Lakewood
Lakewood
San Antonio
San Antonio
Greenwood
Greenwood
Hattiesburg
Hattiesburg
Bay Springs
Bay Springs
Bay Springs
Olympia
Olympia
Ketchikan
Ketchikan
Memphis
New Orleans
Fort Wayne
New York
New York
Atmore
Atmore
New York
New York
St. Paul
St. Paul
New Orleans
New Orleans
Terre Haute
Terre Haute
Terre Haute
Terre Haute
Christiansburg
Christiansburg
NJ
DC
DC
HI
HI
MS
MS
MS
MS
TX
TX
TX
TX
TX
LA
LA
NY
NY
NC
NC
CA
CA
CA
NY
IL
CA
VT
IL
IL
AL
AL
IL
IL
HI
HI
LA
LA
AZ
AZ
AZ
NJ
NJ
CA
CA
MS
MS
MS
MS
SC
SC
LA
LA
AR
AR
NY
NY
TX
TX
MS
MS
MS
MS
MS
MS
MS
WA
WA
AK
AK
TN
LA
IN
NY
NY
AL
AL
NY
NY
MN
MN
LA
LA
IN
IN
IN
IN
VA
VA
10/1/2013
9/3/2010
12/30/2016
9/29/2010
11/18/2015
9/3/2010
11/2/2016
9/29/2010
1/27/2016
9/24/2010
4/2/2014
12/31/2014
12/16/2015
1/11/2017
9/24/2010
12/20/2016
9/24/2010
12/30/2016
8/20/2010
12/20/2016
8/20/2010
9/24/2010
8/23/2017
9/24/2010
9/29/2010
9/24/2010
9/29/2010
8/13/2010
12/20/2016
9/24/2010
12/27/2016
8/13/2010
1/29/2013
9/24/2010
9/9/2015
9/29/2010
12/28/2012
9/24/2010
3/9/2016
11/22/2016
9/29/2010
8/2/2017
9/24/2010
1/10/2017
9/29/2010
9/9/2015
3/23/2016
5/27/2016
9/29/2010
10/31/2016
9/29/2010
12/27/2016
8/6/2010
11/29/2016
9/29/2010
12/20/2016
9/29/2010
10/30/2013
9/29/2010
10/11/2016
9/29/2010
12/6/2016
9/29/2010
12/17/2014
5/24/2017
9/24/2010
12/27/2016
9/24/2010
1/24/2017
8/13/2010
9/24/2010
9/24/2010
9/29/2010
12/30/2016
9/3/2010
11/16/2016
9/29/2010
3/20/2013
7/30/2010
11/28/2012
9/24/2010
9/4/2013
9/29/2010
2/25/2015
12/23/2015
12/27/2016
9/24/2010
6/29/2016
Preferred Stock
$6,000,000.00
Subordinated Debentures
Subordinated Debentures
Preferred Stock
$0.00
$698,000.00
$0.00
$769,700.70 Redeemed, in Full
$3,154,000.00
$0.00
$3,756,668.07 Redeemed, in Full
$0.00
$5,035,934.33 Redeemed, in Full
$435,000.00
$87,000.00
$394,037.50 Redeemed, in part
$5,689,000.00
$0.00
$12,005,854.33 Sold, in full
$898,000.00
$0.00
$939,667.55 Sold, in full
$0.00
$10,874,433.34 Sold, in full
$0.00
$11,775,627.99 Redeemed, in Full
$4,551,000.00
Subordinated Debentures
Preferred Stock
$5,645,000.00
Subordinated Debentures
Preferred Stock
$11,735,000.00
Preferred Stock
$5,500,000.00
Subordinated Debentures
Subordinated Debentures
Subordinated Debentures
Subordinated Debentures
Preferred Stock
$3,000,000.00
Subordinated Debentures
Subordinated Debentures
$4,836,000.00
$283,000.00
$325,000.00
$350,000.00
$1,091,000.00
$283,000.00
$325,000.00
$350,000.00
$1,091,000.00
$0.00
$153,000.00
$0.00
$6,784,000.00
Subordinated Debentures
$6,369,000.00 Sold, in full
$0.00
$40,423.01
$46,330.56
$49,991.67
$155,528.11
$3,327,125.28
Full investment outstanding
Full investment outstanding
Full investment outstanding
Full investment outstanding
Sold, in full
$161,150.50 Sold, in full
$79,900.00 Sold, in full
$273,000.00
$0.00
$300,072.50 Redeemed, in Full
$0.00
$10,171,489.22 Redeemed, in Full
Subordinated Debentures
$2,500,000.00
$0.00
Subordinated Debentures
$31,000.00
$0.00
$2,828,000.00
$0.00
Preferred Stock
$9,734,000.00
Subordinated Debentures
Preferred Stock
$17,910,000.00
Preferred Stock
$18,000,000.00
$2,716,972.22 Sold, in full
$35,241.83 Redeemed, in Full
$2,963,429.78 Sold, in full
$0.00
$19,794,559.99 Redeemed, in Full
$4,000,000.00
$0.00
$24,019,111.11 Sold, in full
$2,646,000.00
$0.00
$2,764,776.00 Sold, in full
$22,800,000.00
$0.00
$35,702,188.89 Sold, in full
Subordinated Debentures
$1,709,000.00
$0.00
$1,802,139.70 Sold, in full
Subordinated Debentures
$1,100,000.00
$0.00
$1,167,894.44 Redeemed, in Full
Subordinated Debentures
Preferred Stock
$11,000,000.00
Preferred Stock
$15,750,000.00
Preferred Stock
$5,000,000.00
Subordinated Debentures
$0.00
$16,650,500.00 Sold, in full
$12,123,000.00
$0.00
$18,043,495.61 Sold, in full
$7,922,000.00
$0.00
$9,276,380.53 Redeemed, in Full
Subordinated Debentures
$75,000.00
$0.00
$80,592.50 Sold, in full
Subordinated Debentures
$1,600,000.00
$0.00
$1,754,666.66 Sold, in full
$424,000.00
$10,000.00
$295,000.00
$2,795,000.00
$424,000.00
$10,000.00
$0.00
Preferred Stock
Subordinated Debentures
Subordinated Debentures
Subordinated Debentures
Preferred Stock
$2,795,000.00
$10,300,000.00
Subordinated Debentures
Subordinated Debentures
$11,926,000.00
$0.00
$11,577,772.22 Redeemed, in Full
$57,000.00
$0.00
$59,821.50 Redeemed, in Full
$0.00
$23,710,842.97 Redeemed, in Full
Subordinated Debentures
$743,000.00
$0.00
$1,229,000.00
$102,450.00
Subordinated Debentures
$1,915,000.00
$0.00
$206,783,000.00
$68,114,450.00
$363,290,000.00
Full investment outstanding
Full investment outstanding
Full investment outstanding
Sold, in full
$10,189,000.00
Subordinated Debentures
TOTALS
$209,935.56
$60,561.33
$1,428.33
$308,622.56
$786,754.45 Redeemed, in Full
$1,227,665.82 Sold, in part
$2,135,756.94 Redeemed, in Full
$539,778,993.36
$5,250,000.00
5,250
$1,000.00
$5,610,000.00
6,000
$935.00
$698,000.00
698,000
$1.00
$3,154,000.00
3,154,000
$1.00
$4,551,000.00
4,551
$1,000.00
$87,000.00
$87,000.00
$87,000.00
$87,000.00
87,000
87,000
87,000
87,000
$1.00
$1.00
$1.00
$1.00
$10,591,623.00
11,334
$934.50
$827,118.22
898,000
$0.92
($70,881.78)
$9,388,000.00
11,735
$800.00
($2,347,000.00)
$10,336,000.00
10,336
$2,000.00
$2,940,000.00
3,000
$980.00
($60,000.00)
$142,000.00
153,000
$0.93
($11,000.00)
$79,900.00
6,784,000
$0.01
($6,704,100.00)
$273,000.00
273,000
$1.00
$9,734,000.00
9,734
$1,000.00
$1,500,000.00
$930,000.00
1,500,000
1,000,000
$1.00
$0.93
$31,000.00
31,000
$1.00
$2,607,416.00
2,828,000
$0.92
$9,250,000.00
$3,000,000.00
$5,660,000.00
9,250
3,000
5,660
$1,000.00
$1,000.00
$1,000.00
$21,340,000.00
22,000
$970.00
$2,434,320.00
2,646,000
$0.92
($211,680.00)
$31,434,000.00
33,800
$930.00
($2,366,000.00)
$1,589,370.00
1,709,000
$0.93
($119,630.00)
$1,100,000.00
1,100,000
$1.00
$14,750,000.00
15,750
$936.51
($1,000,000.00)
$15,925,000.00
17,123
$930.04
($1,198,000.00)
$3,700,000.00
$4,222,000.00
3,700,000
4,222,000
$1.00
$1.00
($390,000.00)
($742,377.00)
($70,000.00)
($220,584.00)
($660,000.00)
$71,205.00
75,000
$0.95
($3,795.00)
$1,552,000.00
1,600,000
$0.97
($48,000.00)
$271,714.78
295,000
$0.92
($23,285.22)
$10,300,000.00
10,300
$1,000.00
$1.00
$57,000.00
57,000
$22,115,000.00
22,115,000
$1.00
$743,000.00
743,000
$1.00
$491,600.00
$245,800.00
$358,018.00
491,600
245,800
389,150
$1.00
$1.00
$0.92
$1,915,000.00
$475,006,494.00
1,915,000
$1.00
$0.00
($31,132.00)
($26,952,056.00)
$0.00
43
Footnote
1
2
3
4
5
6
Footnote Description
All pricing is at par.
Total Cash Back includes net capital repayments, interest and dividends, warrant proceeds, and other income (less expenses).
This institution qualified to participate in the Community Development Capital Initiative (CDCI), and has exchanged its Capital Purchase Program investment for an equivalent amount of
investment with Treasury under the CDCI program terms.
Treasury made an additional investment in this institution at the time it entered the CDCI program.
Treasury made an additional investment in this institution after the time it entered the CDCI program.
On 10/28/2011, Treasury completed the exchange of all Carver Bancorp, Inc. ("Carver") preferred stock held by Treasury for 2,321,286 shares of Carver common stock, pursuant to the terms
of the agreement between Treasury and Carver entered into on 06/29/2011. Accrued and previously unpaid dividends were paid on the date of the exchange.
On 3/23/2012, Premier Bank, Wilmette, IL, the banking subsidiary of Premier Bancorp, Inc., was closed by the Illinois Department of Financial and Professional Regulation - Division of
Banking, and the Federal Deposit Insurance Corporation (FDIC) was named Receiver. On 1/29/2013, UST received $79,900 representing the total amount of distributions paid to creditors as
7 a result of the liquidation of Premier Bancorp, Inc.
Repayment pursuant to one or more of the following, as appropriate: Section 5 of the CDCI Certificate of Designation, Section 6.10 or 6.11 of the CDCI Securities Purchase Agreement,
8 and/or Section 5.11 of the CDCI Exchange Agreement.
On 10/31/2014, in connection with the merger of Union Settlement Federal Credit Union (Union) with Lower East Side People’s Federal Credit Union (Lower East Side), Treasury exchanged
its $295,000 in aggregate principal amount of Union senior subordinated securities for a like amount of additional Lower East Side senior subordinated securities. Accrued dividends on the
9 Union senior subordinated securities were paid on the date of the exchange.
On 12/23/2014, in connection with the merger of Butte Federal Credit Union (Butte) with Self-Help Credit Union (SHFCU), Treasury exchanged its 1,000,000 in senior subordinated securities
10 for a like amount of SHFCU senior subordinated securities. Accrued and unpaid interest were paid on the date of the exchange.
On 10/1/2013, Treasury completed the sale to Wilshire Bancorp, Inc. (“Wilshire”) of all of the preferred stock that had been issued by BankAsiana (“BankAsiana”) to Treasury for a purchase
price of $5,250,000 plus accrued dividends, pursuant to the terms of the agreement between Treasury, Wilshire and BankAsiana entered into on 9/25/2013 in connection with the merger of
11 Wilshire and BankAsiana.
On 10/11/2016, Treasury entered into an agreement with Community Bancshares of Mississippi, Inc. (the “Company”) pursuant to which Treasury agreed to sell its CDCI preferred stock to
the Company for fair value of $50,778,000 plus accrued and unpaid dividends to the date of closing, subject to the satisfaction of the conditions specified in the agreement. The sale was
12 completed on 10/11/2016.
On 10/11/2016, Treasury entered into an agreement with State Capital Corp. (the “Company”) pursuant to which Treasury agreed to sell its CDCI preferred stock to the Company for fair
value of $14,750,000 plus accrued and unpaid dividends to the date of closing, subject to the satisfaction of the conditions specified in the agreement. The sale was completed on
13 10/11/2016.
On 10/18/2016, Treasury entered into an agreement with BancPlus Corporation (the “Company”), pursuant to which Treasury agreed to sell its CDCI preferred stock to the Company for fair
value of $75,250,020 plus accrued and unpaid dividends to the date of closing, subject to the satisfaction of the conditions specified in the agreement. The sale was completed on
14 10/18/2016.
On 10/31/2016, Treasury entered into an agreement with Security Federal Corporation (the “Company”), pursuant to which Treasury agreed to sell its CDCI preferred stock to the Company
for fair value of $21,340,000 plus accrued and unpaid dividends to the date of closing, subject to the satisfaction of the conditions specified in the agreement. The sale was completed on
15 10/31/2016.
On 11/22/2016, Treasury entered into an agreement with Pyramid Federal Credit Union (the “Company”), pursuant to which Treasury agreed to sell its CDCI senior subordinated securities to
the Company for fair value of $930,000 plus accrued and unpaid interest to the date of closing, subject to the satisfaction of the conditions specified in the agreement. The sale was
16 completed on 11/22/2016.
44
Footnote
Footnote Description
On 11/29/2016, Treasury entered into an agreement with First Vernon Bancshares, Inc. (the “Company”), pursuant to which Treasury agreed to sell its CDCI preferred stock to the Company
for fair value of $5,745,400 plus accrued and unpaid dividends to the date of closing, subject to the satisfaction of the conditions specified in the agreement. The sale was completed on
17 11/29/2016.
On 11/29/2016, Treasury entered into an agreement with Southern Bancorp, Inc. (the “Company”), pursuant to which Treasury agreed to sell its CDCI preferred stock to the Company for fair
value of $31,434,000 plus accrued and unpaid dividends to the date of closing, subject to the satisfaction of the conditions specified in the agreement. The sale was completed on
18 11/29/2016.
On 12/06/2016, Treasury entered into an agreement with The First Bancshares, Inc. (“the “Company”), pursuant to which Treasury agreed to sell its CDCI preferred stock to the Company for
fair value of $15,925,000.00 plus accrued and unpaid dividends to the date of closing, subject to the satisfaction of the conditions specified in the agreement. The sale was completed on
19 12/06/2016.
On 12/20/2016, Treasury entered into an agreement with CFBanc Corporation (the “Company”), pursuant to which Treasury agreed to sell its CDCI preferred stock to the Company for fair
value of $5,549,760 plus accrued and unpaid dividends to the date of closing, subject to the satisfaction of the conditions specified in the agreement. The sale was completed on
20 12/20/2016.
On 12/20/2016, Treasury entered into an agreement with Community Plus Federal Credit Union (the “Company”), pursuant to which Treasury agreed to sell its CDCI senior subordinated
securities to the Company for fair value of $415,000 plus accrued and unpaid interest to the date of closing, subject to the satisfaction of the conditions specified in the agreement. The sale
21 was completed on 12/20/2016.
On 12/20/2016, Treasury entered into an agreement with Liberty Financial Services, Inc. (the “Company”), pursuant to which Treasury agreed to sell its CDCI preferred stock to the Company
for fair value of $10,591,623 plus accrued and unpaid dividends to the date of closing, subject to the satisfaction of the conditions specified in the agreement. The sale was completed on
22 12/20/2016.
On 12/20/2016, Treasury entered into an agreement with M&F Bancorp, Inc. (the “Company”), pursuant to which Treasury agreed to sell its CDCI preferred stock to the Company for fair
value of $9,388,000 plus accrued and unpaid dividends to the date of closing, subject to the satisfaction of the conditions specified in the agreement. The sale was completed on
23 12/20/2016.
On 12/20/2016, Treasury entered into an agreement with PGB Holdings, Inc. (the “Company”), pursuant to which Treasury agreed to sell its CDCI preferred stock to the Company for fair
value of $2,940,000 plus accrued and unpaid dividends to the date of closing, subject to the satisfaction of the conditions specified in the agreement. The sale was completed on
24 12/20/2016.
On 12/20/2016, Treasury entered into an agreement with Southern Chautauqua Federal Credit Union (the “Company”), pursuant to which Treasury agreed to sell its CDCI senior
subordinated securities to the Company for fair value of $1,589,370 plus accrued and unpaid interest to the date of closing, subject to the satisfaction of the conditions specified in the
25 agreement. The sale was completed on 12/20/2016.
On 12/27/2016, Treasury entered into an agreement with Alternatives Federal Credit Union (the “Company”), pursuant to which Treasury agreed to sell its CDCI senior subordinated
securities to the Company for fair value of $2,055,280 plus accrued and unpaid interest to the date of closing, subject to the satisfaction of the conditions specified in the agreement. The
26 sale was completed on 12/27/2016.
On 12/27/2016, Treasury entered into an agreement with Brooklyn Cooperative Federal Credit Union (the “Company”), pursuant to which Treasury agreed to sell its CDCI senior subordinated
securities to the Company for fair value of $280,000 plus accrued and unpaid interest to the date of closing, subject to the satisfaction of the conditions specified in the agreement. The sale
27 was completed on 12/27/2016.
On 12/27/2016, Treasury entered into an agreement with Genesee Co-Op Federal Credit Union (the “Company”), pursuant to which Treasury agreed to sell its CDCI senior subordinated
securities to the Company for fair value of $279,000 plus accrued and unpaid interest to the date of closing, subject to the satisfaction of the conditions specified in the agreement. The sale
28 was completed on 12/27/2016.
45
Footnote
Footnote Description
On 12/27/2016, Treasury entered into an agreement with Harborstone Credit Union (the “Company”), which had purchased Thurston Union of Low-Income People (TULIP) Cooperative Credit
Union, pursuant to which Treasury agreed to sell its TULIP CDCI senior subordinated securities to the Company for fair value of $71,205 plus accrued and unpaid interest to the date of
29 closing, subject to the satisfaction of the conditions specified in the agreement. The sale was completed on 12/27/2016.
On 12/27/2016, Treasury entered into an agreement with Phenix Pride Federal Credit Union (the “Company”), pursuant to which Treasury agreed to sell its CDCI senior subordinated
securities to the Company for fair value of $142,000 plus accrued and unpaid interest to the date of closing, subject to the satisfaction of the conditions specified in the agreement. The sale
30 was completed on 12/27/2016.
On 12/27/2016, Treasury entered into an agreement with Shreveport Federal Credit Union (the “Company”), pursuant to which Treasury agreed to sell its CDCI senior subordinated securities
to the Company for fair value of $2,434,320 plus accrued and unpaid interest to the date of closing, subject to the satisfaction of the conditions specified in the agreement. The sale was
31 completed on 12/27/2016.
On 12/27/2016, Treasury entered into an agreement with Vigo County Federal Credit Union (the “Company”), pursuant to which Treasury agreed to sell 389,150 of its CDCI senior
subordinated securities to the Company for fair value of $358,018 plus accrued and unpaid interest to the date of closing, subject to the satisfaction of the conditions specified in the
32 agreement. The sale was completed on 12/27/2016.
On 12/30/2016, Treasury entered into an agreement with Citizens Bancshares Corporation (the “Company”) pursuant to which Treasury agreed to sell its CDCI preferred stock to State
Capital Corp. for fair value of $4,227,049 plus accrued and unpaid dividends to the date of closing, subject to the satisfaction of the conditions specified in the agreement. The sale was
33 completed on 12/30/2016.
On 12/30/2016, Treasury entered into an agreement with D.C. Federal Credit Union (the “Company”), pursuant to which Treasury agreed to sell 1,022,000 of its CDCI senior subordinated
securities to the Company for fair value of $970,900 plus accrued and unpaid interest to the date of closing, subject to the satisfaction of the conditions specified in the agreement. The sale
34 was completed on 12/30/2016.
On 12/30/2016, Treasury entered into an agreement with IBW Financial Corporation (the “Company”) pursuant to which Treasury agreed to sell its CDCI preferred stock to State Capital
Corp. for fair value of $5,610,000 plus accrued and unpaid dividends to the date of closing, subject to the satisfaction of the conditions specified in the agreement. The sale was completed
35 on 12/30/2016.
On 12/30/2016, Treasury entered into an agreement with Lower East Side People's Federal Credit Union (the “Company”), pursuant to which Treasury agreed to sell its CDCI senior
subordinated securities to the Company for fair value of $1,098,833 plus accrued and unpaid interest to the date of closing, subject to the satisfaction of the conditions specified in the
36 agreement. The sale was completed on 12/30/2016.
On 1/10/2017, Treasury entered into an agreement with Santa Cruz Community Credit Union (the “Company”), pursuant to which Treasury agreed to sell its CDCI senior subordinated
securities to the Company for fair value of $2,607,416 plus accrued and unpaid interest to the date of closing, subject to the satisfaction of the conditions specified in the agreement. The
37 sale was completed on 1/10/2017.
On 1/24/2017, Treasury entered into an agreement with Tongass Federal Credit Union (the “Company”), pursuant to which Treasury agreed to sell its CDCI senior subordinated securities to
the Company for fair value of $1,552,000 plus accrued and unpaid interest to the date of closing, subject to the satisfaction of the conditions specified in the agreement. The sale was
38 completed on 1/24/2017.
46
AUTOMOTIVE INDUSTRY FINANCING PROGRAM
Exchange/Transfer/Other Details
Initial Investment
City, State
GMAC
(Ally)
Detroit, MI
Date
Seller
12/29/2008
Purchase
GMAC
5/21/2009
Purchase
GMAC
12/30/2009
Purchase
12/30/2009
Purchase
12/29/2008
Purchase
12/31/2008
Purchase
4/22/2009
Purchase
5/20/2009
General
Motors
Transaction Type
Purchase
GMAC
GMAC
General Motors
Corporation
General Motors
Corporation
General Motors
Corporation
General Motors
Corporation
Description
Preferred Stock w/ Exercised
$
Warrants
Convertible Preferred Stock
w/ Exercised Warrants
Convertible Preferred Stock
w/ Exercised Warrants
$
$
Amount
Pricing
Mechanism
5,000,000,000
Par
7,500,000,000
Par
1,250,000,000
Par
Trust Preferred Securities w/
Exercised Warrants
$
2,540,000,000
Par
Debt Obligation
$
884,024,131
Par
Debt Obligation w/ Additional $
Note
Debt Obligation w/ Additional
$
Note
13,400,000,000
Par
2,000,000,000
Par
Debt Obligation w/ Additional
$
Note
4,000,000,000
Par
Date
22
22,
26
12/30/2009
$
5,000,000,000
N/A
12/30/2009
Partial conversion of preferred
stock for common stock
$
3,000,000,000
N/A
3/1/2011
2
5/29/2009
7/10/2009
4
5
7/10/2009
7/10/2009
Partial conversion of preferred
stock for common stock
Exchange for amended and
restated Trust Preferred
Securities
Exchange for equity interest in
GMAC
Exchange for preferred and
common stock in New GM
Exchange for preferred and
common stock in New GM
Exchange for preferred and
common stock in New GM
Amount
Pricing
Mechanism
Type
Exchange for convertible
preferred stock
12/30/2010
$
5,500,000,000
N/A
$
2,667,000,000
N/A
$
884,024,131
N/A
$ 13,400,000,000
N/A
$
N/A
2,000,000,000
Obligor
GMAC (Ally)
26
GMAC (Ally)
27 GMAC (Ally)
Description
21, 22
3, 26,
32, 38
Convertible
Preferred Stock
Amount/Equity %
$
5,937,500,000
Trust Preferred
Securities
$
2,667,000,000
10,
Preferred Stock
11, 24
$
2,100,000,000
27
4,000,000,000
6/3/2009
Purchase
Purchase
General Motors
Corporation
General Motors
Corporation
Debt Obligation w/ Additional
$
Note
Debt Obligation w/ Additional
$
Note
360,624,198
30,100,000,000
Par
Par
6
8
7/10/2009
Exchange for preferred and
common stock in New GM
$
360,624,198
7/10/2009
Exchange for preferred and
common stock in New GM
$ 22,041,706,310
N/A
7/10/2009
Transfer of debt to New GM
$
7,072,488,605
N/A
7/10/2009
Debt left at Old GM
$
985,805,085
N/A
Amount/ Proceeds
Remaining
Investment
Description
$
5,925,000,000
1/23/2014 Partial Disposition40
$
3,023,750,000 Common Stock
36.96%
41
4/15/2014 Partial Disposition
$
2,375,000,000 Common Stock
17.09%
5/14/2014 Partial Disposition42
$
181,141,750 Common Stock
15.60%
9/12/2014 Partial Disposition43
$
218,680,700 Common Stock
13.40%
10/16/2014 Partial Disposition44
$
245,492,605 Common Stock
11.40%
12/24/2014 Partial Disposition45
$
1,277,036,382 Common Stock
$
2,667,000,000
N/A
$
2,139,406,778
N/A
$
11/20/2013 Disposition 38
N/A
Remaining
Investment
Amount/Equity %
$
0
3/2/2011 Disposition 28
0.00%
0
7
7
N/A
N/A
Type
3
General Motors Company
General Motors Company
10,
11, 25
60.8%
Common Stock
Detroit, MI
5/27/2009
Date
63.45%
Common Stock
7
$
Payment or Disposition1
Treasury Investment After Exchange/Transfer/Other
7
General Motors Holdings
LLC
11, 12 Debt Obligation
$
7,072,488,605
12/15/2010 Repayment
$
11/18/2010 Partial Disposition 25
$
11,743,303,903 Common Stock
36.9%
0
11/26/2010 Partial Disposition 25
$
1,761,495,577 Common Stock
32.04%
12/21/2012 Partial Disposition 33
$
5,500,000,000 Common Stock
21.97%
4/11/2013
Partial Disposition 34
$
1,637,839,844 Common Stock
17.69%
6/12/2013
Partial Disposition 35
$
1,031,700,000 Common Stock
13.80%
9/13/2013
Partial Disposition 36
$
3,822,724,832 Common Stock
7.32%
11/20/2013 Partial Disposition 37
$
2,563,441,956 Common Stock
2.24%
12/9/2013
Partial Disposition 39
$
1,208,249,982 Common Stock
7/10/2009
Partial Repayment
$
360,624,198 Debt Obligation
$
6,711,864,407
12/18/2009 Partial Repayment
$
1,000,000,000 Debt Obligation
$
5,711,864,407
1/21/2010
Partial Repayment
$
35,084,421 Debt Obligation
$
5,676,779,986
3/31/2010
Partial Repayment
$
1,000,000,000 Debt Obligation
$
4,676,779,986
4/20/2010
Repayment
$
4,676,779,986
3/31/2011
Partial Repayment
$
50,000,000
4/5/2011
Partial Repayment
$
45,000,000
5/3/2011
Partial Repayment
$
15,887,795
12/16/2011 Partial Repayment
$
144,444
12/23/2011 Partial Repayment
$
18,890,294
1/11/2012
Partial Repayment
$
6,713,489
10/23/2012 Partial Repayment
$
435,097
5/22/2013
Partial Repayment
$
10,048,968
9/20/2013
Partial Repayment
$
11,832,877
12/27/2013 Partial Repayment
$
410,705
$
470,269
N/A
0.00%
$
0
9
9
9
Motors Liquidation
Company
29
Debt Obligation
$
985,805,085
1/9/2014
Partial Repayment
Right to recover
proceeds
Right to recover
proceeds
Right to recover
proceeds
Right to recover
proceeds
Right to recover
proceeds
Right to recover
proceeds
Right to recover
proceeds
Right to recover
proceeds
Right to recover
proceeds
Right to recover
proceeds
Right to recover
proceeds
N/A
N/A
N/A
N/A
N/A
N/A
N/A
N/A
N/A
N/A
N/A
47
Partial Repayment
$
8,325,185
Partial Repayment
$
2,961,564
11/17/2016 Partial Repayment
$
5,033,898
5/22/2015
8/1/2016
1/16/2009
Chrysler
FinCo
Chrysler FinCo
Debt Obligation w/ Additional
$
Note
1,500,000,000
Par
13
Farmington
Hills, MI
1/2/2009
4/29/2009
4/29/2009
Chrysler
Purchase
Purchase
Chrysler Holding
Purchase
Chrysler Holding
Purchase
Chrysler Holding
5/1/2009
Purchase
Old Chrysler
5/20/2009
Purchase
Old Chrysler
Debt Obligation w/
Note
Debt Obligation w/
Note
Debt Obligation w/
Note
Debt Obligation w/
Note
Debt Obligation w/
Note
Additional
Additional
Additional
Additional
Additional
$
4,000,000,000
$
-
$
280,130,642
$
1,888,153,580
$
-
6/10/2009
Par
Par
14
$
500,000,000
N/A
19
Chrysler Holding
20
Debt obligation w/
additional note
23
Right to recover
proceeds
$
3,500,000,000
15
16
-
Transfer of debt to New
Chrysler
4/30/2010
17
Completion of bankruptcy
$
proceeding; transfer of
collateral security to liquidation
trust
(1,888,153,580)
N/A
23 Old Carco Liquidation
Trust
N/A
Auburn
Hills, MI
5/27/2009
Purchase
New Chrysler
Debt Obligation w/ Additional
$
Note, Zero Coupon Note,
Equity
18
6,642,000,000
N/A
19, 31
6/10/2009
Issuance of equity in New
Chrysler
$
-
N/A
Chrysler Group LLC
Chrysler Group LLC
Total Initial Investment Amount $
30
81,344,932,551
Total Treasury Investment Amount
$
Debt obligation w/
additional note &
zero coupon note
Common equity
$
7,142,000,000
6.6%
3/17/2009
Partial Repayment
4/17/2009
Partial Repayment
5/18/2009
Partial Repayment
6/17/2009
Partial Repayment
7/14/2009
Repayment
7/14/2009
Repayment*
5/14/2010
Termination and settlement
20
payment
$
3,499,055
$
31,810,122
$
$
51,136,084
44,357,710
Right to recover
proceeds
Right to recover
proceeds
Right to recover
proceeds
Debt Obligation w/
Additional Note
Debt Obligation w/
Additional Note
Debt Obligation w/
Additional Note
Debt Obligation w/
Additional Note
Additional Note
N/A
N/A
N/A
$
1,496,500,945
$
1,464,690,823
$
1,413,554,739
$
1,369,197,029
$
0
$
1,369,197,029
$
15,000,000
N/A
-
$
1,900,000,000
N/A
-
N/A
7/10/2009
Repayment
$
280,130,642
5/10/2010
Proceeds from sale of collateral
$
30,544,528
9/9/2010
Proceeds from sale of collateral
$
12/29/2010 Proceeds from sale of collateral
$
7,844,409
Right to recover
proceeds
N/A
Right to recover
9,302,185
proceeds
N/A
$
Right to recover
proceeds
Right to recover
9,666,784
proceeds
0
N/A
N/A
4/30/2012
Proceeds from sale of collateral
$
9/21/2015
Proceeds from sale of collateral
$
93,871,306
Right to recover
proceeds
N/A
9/29/2015
Proceeds from sale of collateral
$
6,341,426
Right to recover
proceeds
N/A
2/26/2016
Proceeds from sale of collateral
$
2,000,000
Right to recover
proceeds
N/A
5/24/2011
Repayment - Principal
$
5,076,460,000
5/24/2011
Termination of undrawn facility 31
$
2,065,540,000
5/24/2011
Repayment* - Additional Note
$
288,000,000
5/24/2011
Repayment* - Zero Coupon Note
$
100,000,000
7/21/2011
Disposition
$
560,000,000
Total Payments $
64,046,068,777
Additional Proceeds * $
403,000,000
N/A
$
N/A
0
-
11,745,170,194
Footnotes appear on following page.
48
As used in this table and its footnotes:
GMAC refers to GMAC Inc., formerly known as GMAC LLC., and now known as Ally Financial, Inc. ("Ally").
"Old GM" refers to General Motors Corporation, which is now known as Motors Liquidation Company.
"New GM" refers to General Motors Company, the company that purchased Old GM's assets on 7/10/2009 in a sale pursuant to section 363 of the Bankruptcy Code. See also footnote 11.
"Chrysler FinCo" refers to Chrysler Financial Services Americas LLC.
"Chrysler Holding" refers to CGI Holding LLC, the company formerly known as "Chrysler Holding LLC".
"Old Chrysler" refers to Old Carco LLC (fka Chrysler LLC).
"New Chrysler" refers to Chrysler Group LLC, the company that purchased Old Chrysler's assets on 6/10/2009 in a sale pursuant to section 363 of the Bankruptcy Code.
1.
2.
3.
4.
5.
6.
7.
8.
Payment amount does not include accrued and unpaid interest on a debt obligation, which must be paid at the time of principal repayment.
Treasury committed to lend General Motors Corporation up to $1,000,000,000. The ultimate funding was dependent upon the level of investor participation in GMAC LLC's rights offering. The amount has been updated to reflect the final level of funding.
Pursuant to its rights under the loan agreement with Old GM reported on 12/29/2008, Treasury exchanged its $884 million loan to Old GM for a portion of Old GM’s common equity interest in GMAC. Treasury held a 35.4% common equity interest in GMAC until the transactions reported on 12/30/2009. (See transactions marked by orange line in the table above and footnote 22.)
This transaction is an amendment to Treasury's 12/31/2008 agreement with Old GM (the "Old GM Loan"), which brought the total loan amount to $15,400,000,000.
This transaction was a further amendment to the Old GM Loan, which brought the total loan amount to $19,400,000,000.
This transaction was a further amendment to the Old GM Loan, which brought the total loan amount to $19,760,624,198. The $360,624,198 loan was used to capitalize GM Warranty LLC, a special purpose vehicle created by Old GM . On 7/10/2009, the principal amount was included in the $7.07 billion of debt assumed by the new GM, as explained in footnote 10.
On 7/10/2009, the principal amount outstanding under the Old GM Loan and interest accrued thereunder were extinguished and exchanged for privately placed preferred and common equity in New GM. (See green lines in the table above.)
Under the terms of the $33.3 billion debtor-in-possession credit agreement dated 6/3/2009 with Old GM (the "GM DIP Loan"), Treasury's commitment amount was $30.1 billion. The remaining $2.2 billion of the financing was provided by Canadian government entities. As of 7/09/2009, $30.1 billion of funds had been disbursed by Treasury.
9. On 7/10/2009, Treasury and Old GM amended the GM DIP Loan, and the principal amount and interest accrued thereunder were extinguished and exchanged for privately placed preferred and common equity in New GM, except for (i) $7.07 billion, which was assumed by New GM as a new obligation under the terms of a separate credit agreement between Treasury and New GM (see transactions marked by green lines in table
above) and (ii) $986 million, which remained a debt obligation of Old GM.
10. In total, for the exchange of the Old GM Loan and the GM DIP Loan (other than as explained in footnote 9), Treasury received $2.1 billion in preferred shares and 60.8% of the common shares of New GM. (See transactions marked by green lines in the table above.)
11. Pursuant to a corporate reorganization completed on or about 10/19/2009, the shareholders of New GM, including with respect to Treasury's preferred and common stock, became shareholders of General Motors Holding Company (the ultimate parent company of New GM), which was renamed "General Motors Company" on an equal basis to their shareholdings in New GM, and New GM was converted to "General Motors LLC".
General Motors LLC is a wholly owned subsidiary of General Motors Holdings LLC, and General Motors Holdings LLC is a wholly owned subsidiary of General Motors Company.
12. Pursuant to a corporate reorganization completed on 10/19/2009, Treasury's loan with New GM was assigned and assumed by General Motors Holdings LLC.
13. The loan was funded through Chrysler LB Receivables Trust, a special purpose vehicle created by Chrysler FinCo. The amount of $1,500,000,000 represents the maximum loan amount. The loan was incrementally funded until it reached the maximum amount of $1.5 billion on 4/9/2009.
14. This transaction was an amendment to Treasury's 1/2/2009 agreement with Chrysler Holding. As of 4/30/2009, Treasury's obligation to lend any funds committed under this amendment had terminated. No funds were disbursed.
15. The loan was used to capitalize Chrysler Warranty SPV LLC, a special purpose vehicle created by Old Chrysler.
16. This transaction was set forth in a credit agreement with Old Chrysler fully executed on 5/5/2009 following a term sheet executed on 5/1/2009 and made effective on 4/30/2009. Treasury's commitment was $3.04 billion of the total $4.1 billion debtor-in-possession credit facility (the "Chrysler DIP Loan"). As of 6/30/2009, Treasury's commitment to lend under the Chrysler DIP Loan had terminated. The remaining principal amount
reflects the final amount of funds disbursed under the Chrysler DIP Loan.
17. This transaction was an amendment to Treasury's commitment under the Chrysler DIP Loan, which increased Treasury's commitment by an amount $756,857,000 to a total of $3.8 billion under the Chrysler DIP Loan. As of 6/30/2009, Treasury's obligation to lend funds committed under the Chrysler DIP Loan had terminated.
18. This transaction, first reported based on a term sheet fully executed on 5/27/2009 for an amount up to $6.943 billion, was set forth in a credit agreement with New Chrysler fully executed on 6/10/2009. Under the terms of the credit agreement, Treasury made a new commitment to New Chrysler of up to $6.642 billion. The total loan amount is up to $7.142 billion including $500 million of debt assumed on 6/10/2009 from Chrysler
Holding originally incurred under Treasury's 1/2/2009 credit agreement with Chrysler Holding. The debt obligations are secured by a first priority lien on the assets of New Chrysler. When the sale to new Chrysler was completed, Treasury acquired the rights to 9.85% of the common equity in new Chrysler.
19. Pursuant to the agreement explained in footnote 18, $500 million of this debt obligation was assumed by New Chrysler.
20. Under loan agreement, as amended on 7/23/2009, Treasury was entitled to proceeds Chrysler Holdco received from Chrysler FinCo equal to the greater of $1.375 billion or 40% of the equity value of Chrysler FinCo. Pursuant to a termination agreement dated 5/14/2010, Treasury agreed to accept a settlement payment of $1.9 billion as satisfaction in full of all existing debt obligations (including additional notes and accrued and
unpaid interest) of Chrysler Holdco, and upon receipt of such payment to terminate all such obligations.
21. Amount of the Treasury investment exchange includes the exercised warrants from Treasury's initial investments.
22. Under the terms of an agreement dated 12/30/2009, the convertible preferred shares will mandatorily convert to common stock under the conditions and the conversion price as set forth in the terms of the agreement.
23. On April 30, 2010, the Plan of Liquidation for the debtors of Old Chrysler approved by the respective bankruptcy court became effective (the “Liquidation Plan”). Under the Liquidation Plan, the loan Treasury had provided to Old Chrysler was extinguished without repayment, and all assets of Old Chrysler were transferred to a liquidation trust. Treasury retained the right to recover the proceeds from the liquidation from time to time of
the specified collateral security attached to such loan.
24. On October 27, 2010, Treasury accepted an offer by General Motors Company (GM) to repurchase all of the approximately $2.1 billion preferred stock at a price per share of $25.50, which is equal to 102% of the liquidation preference, subject to the closing of the proposed initial public offering of GM’s common stock. The repurchase was completed on 12/15/2010.
25. On 11/17/2010, Treasury agreed to sell 358,546,795 shares of common stock at $32.7525 per share (which represents the $33 public sale price less underwriting discounts and fees) pursuant to an underwriting agreement. Following settlement, the net proceeds to Treasury were $11,743,303,903. On 11/26/2010, the underwriters exercised their option to purchase an additional 53,782,019 shares of common stock from Treasury at
the same purchase price resulting in additional proceeds of $1,761,495,577. Treasury's aggregate net proceeds from the sale of common stock pursuant to the underwriting agreement total $13,504,799,480.
26. On 12/30/2010, Treasury converted $5,500,000,000 of the total convertible preferred stock then outstanding and held by Treasury (including exercised warrants) into 531,850 shares of common stock of Ally. Following this conversion, Treasury holds $5,937,500,000 of convertible preferred stock.
27. On 3/1/2011, Treasury entered into an agreement with Ally Financial, Inc. (Ally) and certain other parties to amend and restate the $2,667,000,000 in aggregate liquidation preference of its Ally trust preferred securities so to facilitate a public underwritten offering. At the time of amendment and restatement, Treasury received all outstanding accrued and unpaid dividends and a distribution fee of $28,170,000.
28. On 3/2/2011, Treasury entered into an underwritten offering for all of its Ally trust preferred securities, the proceeds of which were $2,638,830,000, which together with the distribution fee referred to in footnote 27, provided total disposition proceeds to Treasury of $2,667,000,000. This amount does not include the accumulated and unpaid dividends on the trust preferred securities from the date of the amendment and restatement
through but excluding the closing date that Treasury will receive separately at settlement.
29. On March 31, 2011, the Plan of Liquidation for Motors Liquidation Company (Old GM) became effective, Treasury’s $986 million loan to Old GM was converted to an administrative claim and the assets remaining with Old GM, including Treasury's liens on certain collateral and other rights attached to the loan, were transferred to liquidation trusts. On December 15, 2011, Old GM was dissolved, as required by the Plan of Liquidation.
Treasury retained the right to recover additional proceeds; however, any additional recovery is dependent on actual liquidation proceeds and pending litigation.
30. In June 2009, Treasury provided a $6.6 billion loan commitment to Chrysler Group LLC and received a 9.9 percent equity ownership in Chrysler Group LLC (Chrysler). In January and April 2011, Chrysler met the first and second of three performance related milestones. As a result, Fiat’s ownership automatically increased from 20% to 30%, and Treasury’s ownership was reduced to 8.6%. On May 24, 2011, Fiat, through the
exercise of an equity call option, purchased an incremental 16% fully diluted ownership interest in Chrysler for $1.268 billion, reducing Treasury’s ownership to 6.6% (or 6.0% on a fully diluted basis). On July 21, 2011, Fiat, through the exercise of an equity call option, purchased Treasury’s ownership interest for $500 million. In addition, Fiat paid $60 million to Treasury for its rights under an agreement with the UAW retirement trust
pertaining to the trust's shares in Chrysler.
31 On May 24, 2011, Chrysler Group LLC terminated its ability to draw on the remaining $2.066 billion outstanding under this loan facility.
32. On November 1, 2011, Treasury received a $201,345.42 pro-rata tax distribution on its common stock from Ally Financial, Inc. pursuant to the terms of the Sixth Amended and Restated Limited Liability Company Operating Agreement of GMAC LLC dated May 22, 2009.
33. On 12/21/2012, Treasury sold 200,000,000 shares of common stock at $27.50 per share pursuant to a letter agreement. Following settlement, the net proceeds to Treasury were $5,500,000,000.
34. On January 18, 2013, Treasury gave Citigroup Global Markets, Inc. and J.P. Morgan Securities, LLC discretionary authority, as its sales agent, to sell subject to certain parameters up to 58,392,078 shares of common stock from time to time during the period ending on April 17, 2013 (or upon completion of the sale). Completion of the sale under this authority occurred on April 11, 2013.
35. On 6/12/2013, Treasury sold 30,000,000 shares of GM common stock in a registered public offering at $34.41 per share for net proceeds to Treasury of $ 1,031,700,000.
36. Pursuant to pre-arranged written trading plans dated May 6, 2013, as amended, Treasury gave Citigroup Global Markets, Inc. and J.P. Morgan Securities, LLC discretionary authority, as its sales agent, to sell subject to certain parameters up to 142,814,136 shares of common stock from time to time during the period ending on September 13, 2013 (or upon completion of the sale). Completion of the sale under this authority
occurred on September 13, 2013.
37. On September 26, 2013, Treasury gave Citigroup Global Markets, Inc. and J.P. Morgan Securities, LLC discretionary authority, as its sales agent, to sell subject to certain parameters up to 70,214,460 shares of common stock from time to time during the period ending on December 20, 2013 (or upon completion of the sale). Completion of the sale under this authority occurred on November 20, 2013.
38. On November 20, 2013, Ally completed a private placement of an aggregate of 216,667 shares of its common stock for an aggregate price of approximately $1.3 billion and the repurchase of all outstanding shares of its Fixed Rate Cumulative Mandatorily Convertible Preferred Stock, Series F-2, held by Treasury, including payment for the elimination or relinquishment of any right to receive additional shares of common stock to be
issued (the “Share Adjustment Right”). Ally paid to Treasury a total of approximately $5.93 billion for the repurchase of the Series F-2 Preferred Stock and the elimination of the Share Adjustment Right. As a result of the private placement, Treasury's common stock ownership stake was diluted from 73.8 percent to 63.45 percent. Treasury continues to own 981,971 shares of common stock in Ally.
39.
40.
41.
42.
43.
44.
45.
On November 21, 2013, Treasury gave J.P. Morgan Securities, LLC discretionary authority, as its sales agent, to sell, subject to certain parameters, the remaining shares of common stock, from time to time during the period ending on February 15, 2014 (or upon completion of the sale). Completion of the sale under this authority occurred on December 9, 2013.
On January 23, 2014, Treasury sold 410,000 shares of Ally common stock in a private offering at $7,375 per share for gross proceeds of $3,023,750,000.
On April 15, 2014, Treasury sold 95,000,000 shares of Ally common stock in an IPO at $25.00 per share for net proceeds of $2,375,000,000.
On 5/14/2014, the underwriters partially exercised their option to purchase an additional 7,245,670 shares of Ally common stock from Treasury at $25.00 resulting in additional proceeds of $181,141,750.
On August 14, 2014, Treasury gave Goldman Sachs discretionary authority, as its sales agent, to sell subject to certain parameters up to 8,890,000 shares of common stock from time to time during the period ending on November 12, 2014 (or upon completion of the sale). Completion of the sale under this authority occurred on September 12, 2014.
4/ On September 12, 2014, Treasury gave Goldman Sachs discretionary authority, as its sales agent, to sell subject to certain parameters up to 11,249,044 of common stock from time to time during the period ending on December 11, 2014 (or upon completion of the sale). Completion of the sale under this authority occurred on October 16, 2014.
On December 24, 2014, Treasury sold 54,926,296 shares of Ally common stock in an underwritten offering at $23.25 per share for net proceeds of $1,277,036,382.
AUTOMOTIVE SUPPLIER SUPPORT PROGRAM
4
Seller
Footnote
Date
Name of Institution
City
Payment or Disposition
Adjustment Details
State
Transaction Type
Investment
Description
Investment Amount
Pricing Mechanism
Adjustment
Date
Adjusted or Final
Investment Amount
Adjustment Amount
Date
Type
2/11/2010
Partial
repayment
Partial
repayment
3/4/2010
11/20/2009
1
4/9/2009
GM Supplier Receivables LLC
Wilmington
DE
Purchase
Debt Obligation w/
$
Additional Note
3,500,000,000
7/8/2009
3
$
(1,000,000,000) $
6
2
4/9/2009
Chrysler Receivables SPV LLC
INITIAL TOTAL
$
5,000,000,000
Wilmington
DE
Purchase
ADJUSTED TOTAL
Debt Obligation w/
$
Additional Note
$
1,500,000,000
N/A
7/8/2009
3
$
(500,000,000)
7
413,076,735
2,500,000,000
N/A
Total Repayments
$
413,076,735
$
290,000,000
$
1,000,000,000
$
123,076,735
Remaining Investment
Description
Amount
Debt Obligation w/ Additional Note
$
140,000,000
Debt Obligation w/ Additional Note
$
100,000,000
Repayment5
Additional Note
$
50,000,000
4/5/2010
Payment6
None
$
56,541,893
3/9/2010
4/7/2010
Repayment5
Payment7
Additional Note
None
$
$
123,076,735
44,533,054
$
101,074,947
Total Proceeds from Additional Notes
49
1/
2/
3/
4/
5/
6/
7/
The loan was funded through GM Supplier Receivables, LLC, a special purpose vehicle created by General Motors Corporation. The amount of $3,500,000,000 represents the maximum loan amount. The loan will be incrementally funded. The credit agreement was fully executed on 4/9/2009, but was made effective as of 4/3/2009. General Motors Company assumed GM Supplier Receivables LLC on 7/10/2009.
The loan was funded through Chrysler Receivables SPV LLC, a special purpose vehicle created by Chrysler LLC. The amount of $1,500,000,000 represents the maximum loan amount. The loan will be incrementally funded. The credit agreement was fully executed on 4/9/2009, but was made effective as of 4/7/2009. Chrysler Group LLC assumed Chrysler Receivables SPV LLC on 6/10/2009.
Treasury issued notice to the institution of the permanent reduced commitment on 7/8/2009; the reduction was effective on 7/1/2009.
Does not include accrued and unpaid interest due on the amount of principal repayment, which interest must be paid at the time of principal repayment.
All outstanding principal drawn under the credit agreement was repaid.
Treasury's commitment was $2.5 billion (see note 3). As of 4/5/2010, Treasury's commitment to lend under the credit agreement had terminated and the borrower has paid its obligations with respect to the Additional Note. The final investment amount reflects the total funds disbursed under the loan, all of which have been repaid.
Treasury's commitment was $1 billion (see note 3). As of 4/7/2010, Treasury's commitment to lend under the credit agreement had terminated and the borrower has paid its obligations with respect to the Additional Note. The final investment amount reflects the total funds disbursed under the loan, all of which have been repaid.
50
AUTOMOTIVE INDUSTRY FINANCING PROGRAM - GENERAL MOTORS COMPANY
COMMON STOCK DISPOSITION
Date
01/18/13 –
04/17/13
3
05/6/13 –
9/13/2013
4
9/26/13 –
11/20/13
5
11/21/2013 - 6
12/9/2013
Pricing Mechanism1
Number of Shares
$28.0490
58,392,078
$
1,637,839,844
$34.6461
110,336,510
$
3,822,724,832
$36.5087
70,214,460
$
2,563,441,956
$38.8228
31,122,206
$
1,208,249,982
Total Proceeds:
Proceeds2
$9,232,256,614
1/ The price set forth is the weighted average price for all sales of General Motors Company common stock made by Treasury over the course of the corresponding period.
2/ Amount represents the gross proceeds to Treasury.
3/ On January 18, 2013, Treasury gave Citigroup Global Markets, Inc. and J.P. Morgan Securities, LLC discretionary authority, as its sales agent, to sell subject to certain parameters up to 58,392,078 shares of
common stock from time to time during the period ending on April 17, 2013 (or upon completion of the sale). Completion of the sale under this authority occurred on April 11, 2013.
4/ Pursuant to pre-arranged written trading plans dated May 6, 2013, as amended, Treasury gave Citigroup Global Markets, Inc. and J.P. Morgan Securities, LLC discretionary authority, as its sales agent, to sell
subject to certain parameters up to 142,814,136 shares of common stock from time to time during the period ending on September 13, 2013 (or upon completion of the sale). Completion of the sale under this
authority occurred on September 13, 2013.
5/ On September 26, 2013, Treasury gave Citigroup Global Markets, Inc. and J.P. Morgan Securities, LLC discretionary authority, as its sales agent, to sell subject to certain parameters up to 70,214,460 shares of
common stock from time to time during the period ending on December 20, 2013 (or upon completion of the sale). Completion of the sale under this authority occurred on November 20, 2013.
6/ On November 21, 2013, Treasury gave J.P. Morgan Securities, LLC discretionary authority, as its sales agent, to sell, subject to certain parameters, the remaining shares of common stock, from time to time
during the period ending on February 15, 2014 (or upon completion of the sale). Completion of the sale under this authority occurred on December 9, 2013.
51
AUTOMOTIVE INDUSTRY FINANCING PROGRAM - ALLY FINANCIAL, INC.
COMMON STOCK DISPOSITION
Date
08/14/14 –
09/12/14
09/12/14 10/16/14
1
3
4
2
Pricing Mechanism
Number of Shares
$24.5985
8,890,000
$
218,680,700
$21.8234
11,249,044
$
245,492,605
Total Proceeds:
Proceeds
$464,173,305
1/ The price set forth is the weighted average price for all sales of Ally Financial, Inc.(Ally) common stock made by Treasury over the course of the corresponding period.
2/ Amount represents the gross proceeds to Treasury.
3/ On August 14, 2014, Treasury gave Goldman Sachs discretionary authority, as its sales agent, to sell subject to certain parameters up to 8,890,000 shares of common stock from time to time during the period
ending on November 12, 2014 (or upon completion of the sale). Completion of the sale under this authority occurred on September 12, 2014.
4/ On September 12, 2014, Treasury gave Goldman Sachs discretionary authority, as its sales agent, to sell subject to certain parameters up to 11,249,044 of common stock from time to time during the period ending
on December 11, 2014 (or upon completion of the sale). Completion of the sale under this authority occurred on October 16, 2014.
52
TARGETED INVESTMENT PROGRAM
Seller
Footnote
1
Date
Name of Institution
12/31/2008 Citigroup Inc.
Bank of America
1/16/2009 Corporation
Treasury Investment Remaining After Capital
Repayment
Capital Repayment Details
City
State
Transaction
Type
New York
NY
Purchase
Charlotte
NC
Purchase
Investment Amount
Pricing
Mechanism
Capital
Repayment Date
Investment Description
Trust Preferred Securities
w/ Warrants
Preferred Stock w/
Warrants
$
20,000,000,000
Par
12/23/2009
$
20,000,000,000
Par
12/9/2009
TOTAL
$
40,000,000,000
Capital Repayment Remaining Capital
Amount
Amount
2
2
TOTAL CAPITAL REPAYMENT
TOTAL TREASURY TIP INVESTMENT AMOUNT
Final Disposition
Remaining Capital
Description
Final Disposition Date
3
Final Disposition
Description
Final Disposition
Proceeds
$
20,000,000,000
$
0
Warrants
1/25/2011
A
Warrants
$
190,386,428
$
20,000,000,000
$
0
Warrants
3/3/2010
A
Warrants
$
1,236,804,513
$
40,000,000,000
$
1,427,190,941
$
Total Warrant Proceeds
0
1/ Treasury made three separate investments in Citigroup Inc. ("Citigroup") under CPP, TIP, and AGP for a total of $49 billion. On 6/9/2009, Treasury entered into an agreement with Citigroup to exchange all of Treasury’s investments. On 7/30/2009, Treasury exchanged all of its Fixed Rate Cumulative Perpetual Preferred Stock,
Series I (TIP Shares) “dollar for dollar” for Trust Preferred Securities.
2/ Repayment pursuant to Title VII, Section 7001 of the American Recovery and Reinvestment Act of 2009.
3/ For final disposition of warrants, "R" represents proceeds from a repurchase of warrants by the financial institution, and "A" represents the proceeds to Treasury, after underwriting fees, from a sale by Treasury in a registered public offering of the warrants issued by the financial institution.
ASSET GUARANTEE PROGRAM
Initial Investment
Footnote
Date
1
1/16/2009
Seller
Name of Institution
City
State
Type
Citigroup Inc.
New York
NY
Guarantee
12/23/2009 Citigroup Inc.
New York
NY
Termination
Premium
Description
Guarantee Limit
Master Agreement
$
5,000,000,000
Termination Agreement
$
(5,000,000,000)
3
TOTAL
$
0
Description
Preferred Stock
w/ Warrants
Exchange/Transfer/Other Details
Amount
$
4,034,000,000
Footnote
Date
2
6/9/2009
4
9/29/2010
6
12/28/2012
7
2/4/2013
Payment or Disposition
Type
Description
Exchange preferred stock for Trust Preferred Securities
$
trust preferred securities
w/ Warrants
Exchange trust preferred
securities for trust preferred
securities
Trust preferred securities
received from the FDIC
Exchange Trust preferred
securities for subordinated
note
Trust Preferred Securities
w/ Warrants
$
Amount
4,034,000,000
2,246,000,000
Trust Preferred Securities
$
800,000,000.00
Subordinated Note
$
894,000,000.00
Footnote
3
5
8
Type
Partial cancellation for early
12/23/2009
termination of guarantee
Remaining Premium
Description
Trust Preferred
$ (1,800,000,000)
Securities w/ Warrants
9/30/2010 Disposition
$
1/25/2011 Warrant Auction
$
Date
2/8/2013 Disposition
Total Proceeds
Remaining
Premium
Amount
$ 2,234,000,000
$
0
67,197,045 None
$
0
$ 894,000,000.00 None
$
0
$
2,246,000,000 Warrants
3,207,197,045
1/ In consideration for the guarantee, Treasury received $4.03 billion of preferred stock, which pays 8% interest.
2/ Treasury made three separate investments in Citigroup Inc. ("Citigroup") under CPP, TIP, and AGP for a total of $49 billion. On 6/9/2009, Treasury entered into an agreement with Citigroup to exchange all of Treasury’s investments. On 7/30/2009, Treasury exchanged all of its Fixed Rate Cumulative Perpetual Preferred Stock Series G (AGP Shares), received as premium with the AGP agreement, “dollar for dollar” for Trust Preferred
Securities.
3/ On 12/23/2009, Treasury entered into a Termination Agreement with the other parties to the Master Agreement which served to terminate Treasury’s guarantee and obligations under the Master Agreement. In connection with the early termination of the guarantee, Treasury agreed to cancel $1.8 billion of the AGP Trust Preferred Securities, and the Federal Deposit Insurance Corporation (FDIC) and Treasury agreed that, subject to the
conditions set out in the Termination Agreement, the FDIC may transfer $800 million of Trust Preferred Securities to Treasury at the close of Citigroup’s participation in the FDIC’s Temporary Liquidity Guarantee Program.
4/ On 9/29/2010, Treasury entered into an agreement with Citigroup Inc. to exchange $2,234,000,000 in aggregate liquidation preference of its trust preferred securities for $2,246,000,000 in aggregate liquidation preference of trust preferred securities with certain modified terms. At the time of exchange, Citigroup Inc. paid the outstanding accrued and unpaid dividends.
5/ On 9/30/2010, Treasury entered into underwritten offering of the trust preferred securities, the gross proceeds of which do not include accumulated and unpaid distributions from the date of the exchange through the closing date.
6/ 12/28/2012, as contemplated by the Termination Agreement and the Letter Agreement dated 12/23/2009, between Treasury and the Federal Deposit Insurance Corporation (FDIC), Treasury received from the FDIC, Citigroup Inc. trust preferred securities in aggregate liquidation preference equal to $800 million and approximately $183 million in dividend and interest payments from those securities.
7/ On 2/4/2013, Treasury exchanged $800 million in Citigroup Capital XXXIII Trust Preferred Securities (TruPs) for $894 million in Citigroup subordinated notes pursuant to an agreement between Citigroup and Treasury executed on 2/4/2013. Accrued interest on the TruPs was received at the time of the exchange.
8/ On 2/8/2013, Treasury completed the sale of its Citigroup subordinated notes for $894 million plus accrued interest, pursuant to an underwriting agreement executed on 2/8/2012.
53
AMERICAN INTERNATIONAL GROUP, INC. (AIG) INVESTMENT PROGRAM
(formerly referred to as Systemically Significant Failing Institutions Program)
Seller
Note
Date
1
11/25/2008
2, 3
4/17/2009
Name of Institution
AIG
Purchase Details
City
New York
AIG
New York
State
Transaction
Type
NY
Purchase
Preferred Stock w/ Warrants
(Series D)
Purchase
Preferred Stock w/ Warrants
(Series F)
NY
Investment Description
Exchange/Transfer Details
Investment Amount
$
Pricing Mechanism
40,000,000,000
$
29,835,000,000
$
69,835,000,000
Par
Par
2
Date
Transaction Type
4/17/2009
Exchange
Pricing
Mechanism
Amount
Investment Description
Preferred Stock w/ Warrants
(Series E)
1
$
40,000,000,000
Par
See table below for exchange/transfer details in connection with the recapitalization conducted on 1/14/2011.
Final Disposition
TOTAL
Date
Investment
Transaction Type
3/1/2013
Warrants (Series D)
Repurchase
$
25,150,923.10
3/1/2013
Warrants (Series F)
Repurchase
$
5,767.50
Total Warrant Proceeds
$
Proceeds
25,156,690.60
1/ On 4/17/2009, Treasury exchanged its Series D Fixed Rate Cumulative Preferred Shares for Series E Fixed Rate Non-Cumulative Preferred Shares with no change to Treasury's initial investment amount. In addition, in order for AIG to fully redeem the Series E Preferred Shares, it had an additional obligation to Treasury of $1,604,576,000 to reflect the cumulative
unpaid dividends for the Series D Preferred Shares due to Treasury through and including the exchange date.
2/ The investment amount reflected Treasury's commitment to invest up to $30 billion less a reduction of $165 million representing retention payments AIG Financial Products made to its employees in March 2009.
3/ This transaction does not include AIG's commitment fee of an additional $165 million paid from its operating income over the life of the facility. A $55 million payment was received by Treasury on 12/17/2010. The remaining $110 million payment was received by Treasury on 05/27/2011.
AIG POST-RECAPITALIZATION
Recapitalization
Note
Date
Investment Description
Treasury Holdings Post-Recapitalization
Transaction Type
Exchange
Pricing Mechanism
Par
Investment Description
Preferred Stock (Series G)
AIA Preferred Units
4
1/14/2011
Preferred Stock (Series F)
Exchange
Exchange
1/14/2011
Preferred Stock (Series E)
1/14/2011
Common Stock (non-TARP)
Exchange
Transfer
$
$
2,000,000,000
16,916,603,568
$
3,375,328,432
167,623,733
924,546,133
N/A
6
Date
Amount / Shares
7
N/A
ALICO Junior Preferred Interests
5
Final Disposition
Common Stock
562,868,096
7
Proceeds 8
Transaction Type
Pricing Mechanism
5/27/2011
Cancellation
$
2/14/2011
Payment
$
185,726,192
-
N/A
Par
3/8/2011
Payment
$
5,511,067,614
Par
3/15/2011
Payment
$
55,833,333
Par
8/17/2011
Payment
$
97,008,351
Par
8/18/2011
Payment
$
2,153,520,000
Par
9/2/2011
Payment
$
55,885,302
Par
11/1/2011
Payment
$
971,506,765
Par
3/8/2012
Payment
$
5,576,121,382
Par
3/15/2012
Payment
$
1,521,632,096
Par
3/22/2012
Payment
$
1,493,250,339
Par
2/14/2011
Payment
$
2,009,932,072
Par
3/8/2011
Payment
$
1,383,888,037
Par
3/15/2012
Payment
$
44,941,843
Par
5/24/2011
Partial Disposition
$
5,800,000,000
N/A
3/8/2012
Partial Disposition
$
6,000,000,008
N/A
5/6/2012
Partial Disposition
$
4,999,999,993
N/A
5/7/2012
Partial Disposition
$
749,999,972
N/A
8/3/2012
Partial Disposition
$
4,999,999,993
N/A
8/6/2012
Partial Disposition
$
750,000,002
N/A
9/10/2012
Partial Disposition
$
17,999,999,973
N/A
9/11/2012
Partial Disposition
$
2,699,999,965
N/A
12/14/2012
Final Disposition
$
7,610,497,570
N/A
Remaining Recap
Investment Amount,
Shares, or Equity %
$
0
10
$
0
8
$
0
8
1,455,037,962
9
77%
1,248,141,410
11
70%
1,084,206,984
12
63%
1,059,616,821
12
61%
895,682,395
13
55%
871,092,231
13
53%
317,246,078
14
22%
234,169,156
14
16%
234,169,156
15
0%
Footnotes appear on following page.
54
4/ On 1/14/2011, (A) Treasury exchanged $27,835,000,000 of Treasury's investment in AIG's Fixed Rate Non-Cumulative Perpetual Preferred Stock (Series F) which is equal to the amount funded (including amounts drawn at closing) under the Series F equity capital facility, for (i) the transferred SPV preferred interests and (ii) 167,623,733 shares of AIG Common Stock, and
(B) Treasury exchanged $2,000,000,000 of undrawn Series F for 20,000 shares of preferred stock under the new Series G Cumulative Mandatory Convertible Preferred Stock equity capital facility under which AIG has the right to draw up to $2,000,000,000.
5/ On 1/14/2011, Treasury exchanged an amount equivalent to the $40 billion initial investment plus capitalized interest from the April 2009 exchange (see note 1 above) of Fixed Rate Non-Cumulative Perpetual Preferred Stock (Series E) for 924,546,133 shares of AIG Common Stock.
6/ On 1/14/2011, Treasury received 562,868,096 shares of AIG Common Stock from the AIG Credit Facility Trust, which trust was established in connection with the credit facility between AIG and the Federal Reserve Bank of New York. This credit facility was repaid and terminated pursuant to this recapitalization transaction. The trust had received 562,868,096 shares of
AIG common stock in exchange for AIG's Series C Perpetual, Convertible Participating Preferred Stock, which was previously held by the trust for the benefit of the U.S. Treasury.
7/ The amount of Treasury's AIA Preferred Units and ALICO Junior Preferred Interests holdings do not reflect preferred returns on the securities that accrue quarterly.
8/ Proceeds include amounts applied to pay (i) accrued preferred returns and (ii) redeem the outstanding liquidation amount.
9/ On 5/27/2011, Treasury completed the sale of 200,000,000 shares of common stock at $29.00 per share for total proceeds of $5,800,000,000, pursuant to an underwriting agreement executed on 05/24/2011.
10/ On 5/27/2011, pursuant to the terms of the agreements governing the Preferred Stock (Series G), the available amount of the Preferred Stock (Series G) was reduced to $0 as a result of AIG’s primary offering of its common stock and the Preferred Stock (Series G) was cancelled.
11/ On 3/13/2012, Treasury completed the sale of 206,896,552 shares of common stock at $29.00 per share for total proceeds of $6,000,000,008, pursuant to an underwriting agreement executed on 3/8/2012.
12/ On 5/10/2012, Treasury completed the sale of 188,524,589 shares of common stock at $30.50 per share for total proceeds of $5,749,999,965, pursuant to an underwriting agreement executed on 5/6/2012.
13/ On 8/8/2012, Treasury completed the sale of 188,524,590 shares of common stock at $30.50 per share for total proceeds of $5,749,999,995, pursuant to an underwriting agreement executed on 8/3/2012.
14/ On 9/14/2012, Treasury completed the sale of 636,923,075 shares of common stock at $32.50 per share for total proceeds of $20,699,999,938, pursuant to an underwriting agreement executed on 9/10/2012.
15/ On 12/14/2012, Treasury completed the sale of 234,169,156 shares of common stock at $32.50 per share for total proceeds of $7,610,497,570, pursuant to an underwriting agreement executed on 12/10/2012.
55
CREDIT MARKET PROGRAMS
TERM ASSET-BACKED SECURITIES LOAN FACILITY
Seller
Footnote
1
Date
3/3/2009
Name of Institution
TALF LLC
City
Wilmington
State
DE
Transaction
Type
Purchase
Investment Description
Debt Obligation w/ Additional Note
Investment Amount
$
20,000,000,000
Pricing Mechanism
Adjusted Investment
Date
Amount
2
7/19/2010
$
4,300,000,000
6/28/2012
3
1/15/2013
4
$
1,400,000,000
$
100,000,000
Final Investment Amount
$
N/A
Total Investment Amount $
100,000,000
100,000,000
Repayment 5
Description
Date
Amount
2/6/2013
Principal Repayment
$
100,000,000
2/6/2013
3/6/2013
4/4/2013
5/6/2013
6/6/2013
7/5/2013
8/6/2013
9/6/2013
10/4/2013
11/6/2013
12/5/2013
1/7/2014
2/6/2014
3/6/2014
4/4/2014
5/6/2014
6/5/2014
7/7/2014
8/6/2014
9/5/2014
10/6/2014
Contingent Interest Proceeds
Contingent Interest Proceeds
Contingent Interest Proceeds
Contingent Interest Proceeds
Contingent Interest Proceeds
Contingent Interest Proceeds
Contingent Interest Proceeds
Contingent Interest Proceeds
Contingent Interest Proceeds
Contingent Interest Proceeds
Contingent Interest Proceeds
Contingent Interest Proceeds
Contingent Interest Proceeds
Contingent Interest Proceeds
Contingent Interest Proceeds
Contingent Interest Proceeds
Contingent Interest Proceeds
Contingent Interest Proceeds
Contingent Interest Proceeds
Contingent Interest Proceeds
Contingent Interest Proceeds
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
212,829,610
97,594,053
6,069,968
4,419,259
96,496,772
11,799,670
66,072,965
74,797,684
1,114,074
933,181
1,102,424
1,026,569
1,107,574
1,225,983
11,597,602
1,055,556
1,343,150
27,005,139
14,059,971
262,036
17,394,583
11/6/2014
Contingent Interest Proceeds
$
21,835,385
$
771,143,209
Total Repayment Amount 5
1/ The loan was funded through TALF LLC, a special purpose vehicle created by The Federal Reserve Bank of New York ("FRBNY"). The amount of $20,000,000,000 represents the maximum loan amount. The loan will be incrementally funded.
2/ On 7/19/2010, Treasury, the FRBNY and TALF LLC entered into an amendment of the credit agreement previously entered into on 3/3/2009, which amendment reduced Treasury's maximum loan amount to $4,300,000,000.
3/ On 6/28/2012, Treasury, the FRBNY and TALF LLC entered into an amendment of the credit agreement previously amended 7/19/2010, which reduced Treasury's maximum loan amount to $1,400,000,000.
4/ On 1/15/2013, Treasury, the FRBNY and TALF LLC entered into an amendment that stated that, due to the fact that the accumulated fees collected through TALF exceed the total principal amount of TALF loans outstanding, Treasury’s commitment of TARP funds to provide credit protection is no longer necessary.
5/ Repayment amounts do not include accrued interest proceeds received on 2/6/2013, which are reflected on the Dividends & Interest Report.
56
CREDIT MARKET PROGRAMS
SBA 7a SECURITIES PURCHASE PROGRAM
Purchase Details 1
Date
3/19/2010
3/19/2010
3/19/2010
4/8/2010
4/8/2010
5/11/2010
5/11/2010
5/11/2010
5/25/2010
5/25/2010
6/17/2010
6/17/2010
7/14/2010
7/14/2010
7/14/2010
7/29/2010
7/29/2010
8/17/2010
8/17/2010
8/17/2010
8/31/2010
8/31/2010
8/31/2010
9/14/2010
9/14/2010
9/14/2010
9/14/2010
9/28/2010
9/28/2010
9/28/2010
9/28/2010
Investment Description
Floating Rate SBA 7a security due 2025
Floating Rate SBA 7a security due 2022
Floating Rate SBA 7a security due 2022
Floating Rate SBA 7a security due 2034
Floating Rate SBA 7a security due 2016
Floating Rate SBA 7a security due 2020
Floating Rate SBA 7a security due 2035
Floating Rate SBA 7a security due 2033
Floating Rate SBA 7a security due 2029
Floating Rate SBA 7a security due 2033
Floating Rate SBA 7a security due 2020
Floating Rate SBA 7a security due 2034
Floating Rate SBA 7a security due 2020
Floating Rate SBA 7a security due 2025
Floating Rate SBA 7a security due 2034
Floating Rate SBA 7a security due 2017
Floating Rate SBA 7a security due 2034
Floating Rate SBA 7a security due 2020
Floating Rate SBA 7a security due 2019
Floating Rate SBA 7a security due 2020
Floating Rate SBA 7a security due 2020
Floating Rate SBA 7a security due 2024
Floating Rate SBA 7a security due 2020
Floating Rate SBA 7a security due 2020
Floating Rate SBA 7a security due 2021
Floating Rate SBA 7a security due 2029
Floating Rate SBA 7a security due 2026
Floating Rate SBA 7a security due 2035
Floating Rate SBA 7a security due 2034
Floating Rate SBA 7a security due 2034
Floating Rate SBA 7a security due 2035
Total Purchase Face Amount
Settlement Details
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
Purchase Face
Amount 3
4,070,000
7,617,617
8,030,000
23,500,000
8,900,014
10,751,382
12,898,996
8,744,333
8,417,817
17,119,972
34,441,059
28,209,085
6,004,156
6,860,835
13,183,361
2,598,386
9,719,455
8,279,048
5,000,000
10,000,000
9,272,482
10,350,000
6,900,000
8,902,230
8,050,000
5,750,000
5,741,753
3,450,000
11,482,421
13,402,491
14,950,000
$
332,596,893
Pricing Mechanism
107.75
109
108.875
110.502
107.5
106.806
109.42
110.798
110.125
109.553
110.785
112.028
106.625
108.505
111.86
108.4375
106.75
110.198
110.088
110.821
110.515
112.476
105.875
111.584
110.759
106.5
110.5
110.875
113.838
113.9
114.006
TBA or
PMF3
-
Investment Amount
Settlement Date
3/24/2010
3/24/2010
3/24/2010
5/28/2010
4/30/2010
6/30/2010
6/30/2010
6/30/2010
7/30/2010
7/30/2010
8/30/2010
8/30/2010
9/30/2010
9/30/2010
9/30/2010
9/30/2010
10/29/2010
9/30/2010
10/29/2010
10/29/2010
9/29/2010
10/29/2010
11/30/2010
10/29/2010
11/30/2010
11/30/2010
11/30/2010
11/30/2010
12/30/2010
11/30/2010
12/30/2010
TOTAL INVESTMENT AMOUNT
Final Disposition
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
Senior Security
Proceeds 4
2,184
4,130
4,348
12,983
4,783
5,741
7,057
4,844
4,635
9,377
19,077
15,801
3,200
3,722
7,373
1,408
5,187
4,561
2,752
5,541
5,123
5,820
3,652
4,966
4,458
3,061
3,172
1,912
6,535
7,632
8,521
Total Senior Security Proceeds $
183,555
2, 3
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
4,377,249
8,279,156
8,716,265
26,041,643
9,598,523
11,511,052
14,151,229
9,717,173
9,294,363
18,801,712
38,273,995
31,693,810
6,416,804
7,462,726
14,789,302
2,826,678
10,394,984
9,150,989
5,520,652
11,115,031
10,277,319
11,672,766
7,319,688
9,962,039
8,940,780
6,134,172
6,361,173
3,834,428
13,109,070
15,308,612
17,092,069
368,145,452
TBA or
3
PMF
-
Trade Date
6/21/2011
10/19/2011
6/21/2011
6/7/2011
6/7/2011
6/7/2011
6/7/2011
6/7/2011
6/7/2011
9/20/2011
6/21/2011
9/20/2011
6/21/2011
10/19/2011
6/21/2011
1/24/2012
6/21/2011
9/20/2011
10/19/2011
10/19/2011
9/20/2011
10/19/2011
1/24/2012
1/24/2012
1/24/2012
1/24/2012
1/24/2012
10/19/2011
1/24/2012
10/19/2011
1/24/2012
PMF6
-
Purchase Face
Amount 3
$
4,070,000
$
7,617,617
$
8,030,000
$
23,500,000
$
8,900,014
$
10,751,382
$
12,898,996
$
8,744,333
$
8,417,817
$
17,119,972
$
34,441,059
$
28,209,085
$
6,004,156
$
6,860,835
$
13,183,361
$
2,598,386
$
9,719,455
$
8,279,048
$
5,000,000
$
10,000,000
$
9,272,482
$
10,350,000
$
6,900,000
$
8,902,230
$
8,050,000
$
5,750,000
$
5,741,753
$
3,450,000
$
11,482,421
$
13,402,491
$
14,950,000
Life-to-date
Current Face
Principal Received
Disposition
1, 8
Amount 6, 8
Amount 5, 6
$
3,151,186 $
902,633 $
3,457,746
$
5,891,602 $
1,685,710 $
6,462,972
$
5,964,013 $
2,022,652 $
6,555,383
$
22,350,367 $
1,149,633 $
25,039,989
$
6,542,218 $
2,357,796 $
7,045,774
$
9,819,270 $
932,112 $
10,550,917
$
12,570,392 $
328,604 $
13,886,504
$
8,483,188 $
261,145 $
9,482,247
$
8,171,159 $
246,658 $
8,985,818
$
15,030,712 $
2,089,260 $
16,658,561
$
32,656,125 $
1,784,934 $
36,072,056
$
25,930,433 $
2,278,652 $
29,142,474
$
5,656,049 $
348,107 $
6,051,772
$
6,520,875 $
339,960 $
7,105,304
$
12,704,841 $
478,520 $
14,182,379
$
1,903,407 $
694,979 $
2,052,702
$
9,531,446 $
188,009 $
10,223,264
$
6,425,217 $
1,853,831 $
7,078,089
$
4,580,543 $
419,457 $
5,029,356
$
9,030,539 $
969,461 $
9,994,806
$
8,403,846 $
868,636 $
9,230,008
$
10,099,555 $
250,445 $
11,314,651
$
6,236,800 $
663,200 $
6,556,341
$
7,503,681 $
1,398,549 $
8,269,277
$
7,053,867 $
996,133 $
7,703,610
$
5,473,724 $
276,276 $
5,764,858
$
4,307,881 $
1,433,872 $
4,693,918
$
3,367,168 $
82,832 $
3,698,411
$
10,592,775 $
889,646 $
11,818,944
$
12,963,737 $
438,754 $
14,433,039
$
14,562,161 $
387,839 $
16,383,544
Disposition Proceeds
TOTAL PROGRAM PROCEEDS TO DATE7 $
$
334,924,711
376,748,302
1/ The amortizing principal and interest payments are reported on the monthly Dividends and Interest Report available at www.FinancialStability.gov.
2/ Investment Amount is stated after applying the appropriate month's factor and includes accrued interest paid at settlement, if applicable.
3/ If a purchase is listed as TBA, or To-Be-Announced, the underlying loans in the SBA Pool have yet to come to market, and the TBA pricing mechanism, purchase face amount, investment amount and senior security proceeds will be adjusted within the variance permitted under the program terms. If a
purchase is listed as PMF, or Prior-Month-Factor, the trade was made prior to the applicable month's factor being published and the SBA 7a security and senior security are priced according to the prior-month's factor. The PMF investment amount and senior security proceeds will be adjusted after publication
of the applicable month's factor (on or about the 11th business day of each month).
4/ In order to satisfy the requirements under Section 113 of the Emergency Economic Stabilization Act of 2008, Treasury will acquire a senior indebtedness instrument (a Senior Security) from the seller of each respective SBA 7a Security. Each Senior Security will (i) have an aggregate principal amount equal
to the product of (A) 0.05% and (B) the Investment Amount (excluding accrued interest) paid by Treasury for the respective SBA 7a Security, and (ii) at the option of the respective seller, may be redeemed at par value immediately upon issuance, or remain outstanding with the terms and conditions as set forth
in the Master Purchase Agreement.
5/ Disposition Amount is stated after applying the appropriate month's factor and includes accrued interest received at settlement, if applicable. If the disposition is listed as PMF, the disposition amount will be adjusted after publication of the applicable month's factor.
6/ If a disposition is listed as PMF, or Prior-Month-Factor, the trade was made prior to the applicable month's factor being published and the SBA 7a security is priced according to the prior-month's factor. The PMF disposition amount will be adjusted after publication of the applicable month's factor (on or about
the 11th business day of each month).
7/ Total Program Proceeds To Date includes life-to-date disposition proceeds, life-to-date principal received, life-to-date interest received, and senior security proceeds (excluding accruals).
8/ The sum of Current Face Amount and Life-to-date Principal Received will equal Purchase Face Amount for CUSIPs that were originally purchased as TBAs only after the applicable month's factor has been published and trailing principal & interest payments have been received.
57
CREDIT MARKET PROGRAMS
LEGACY SECURITIES PUBLIC-PRIVATE INVESTMENT PROGRAM (S-PPIP)
Preliminary Adjusted
Seller
Footnote
Date
1
9/30/2009
2
1
9/30/2009
9/30/2009
Name of Institution
UST/TCW Senior Mortgage Securities Fund, L.P.
UST/TCW Senior Mortgage Securities Fund, L.P.
Invesco Legacy Securities Master Fund, L.P.
Commitment
City
State
Transaction
Type
Wilmington
DE
Purchase
Wilmington
Wilmington
DE
DE
Purchase
Purchase
Investment Description
Membership Interest
Debt Obligation w/ Contingent Proceeds
Membership Interest
Commitment
Amount
$
$
$
1,111,111,111
2,222,222,222
1,111,111,111
Pricing
Mechanism
Date
Par
1/4/2010
Par
Par
1/4/2010
3
Amount
4 $
4 $
3/22/2010 6 $
156,250,000
200,000,000
1,244,437,500
Final Investment
Final Commitment Amount
Date
1/4/2010
1/4/2010
7/16/2010
7
Amount
Amount
4
4
$
$
$
156,250,000
200,000,000
856,000,000
9
Amount
$
$
$
156,250,000
200,000,000
580,960,000
Capital Repayment Details
Repayment
Date
1/15/2010
9/30/2009
Invesco Legacy Securities Master Fund, L.P.
Wilmington
DE
Purchase
Debt Obligation w/ Contingent Proceeds
$
2,222,222,222
Par
3/22/2010 6 $
2,488,875,000
9/26/2011 8 $
1,161,920,000
$
1,161,920,000
$
156,250,000
Amount
$
1/11/2010
$
34,000,000
$
1/12/2010
$
166,000,000
$
Description
0
0
Contingent Proceeds
2,444,347
$
578,515,653 Membership Interest
4/15/2010
$
3,533,199
$
574,982,454 Membership Interest
9/15/2010
$
30,011,187
$
544,971,267 Membership Interest
11/15/2010
$
66,463,982
$
478,507,285 Membership Interest
12/14/2010
$
15,844,536
$
462,662,749 Membership Interest
1/14/2011
$
13,677,726
$
448,985,023 Membership Interest
2/14/2011
$
48,523,845
$
400,461,178 Membership Interest
3/14/2011
$
68,765,544
$
331,695,634 Membership Interest
4/14/2011
$
77,704,254
$
253,991,380 Membership Interest
5/20/2011
$
28,883,733
$
225,107,647 Membership Interest
6/14/2011
$
9,129,709
$
215,977,938 Membership Interest
7/15/2011
$
31,061,747
$
184,916,192 Membership Interest
8/12/2011
$
10,381,214
$
174,534,977 Membership Interest
10/17/2011
$
6,230,731
$
168,304,246 Membership Interest
12/14/2011
$
1,183,959
$
167,120,288 Membership Interest
1/17/2012
$
1,096,185
$
166,024,103 Membership Interest
2/14/2012
$
1,601,688
$
164,422,415 Membership Interest
3/14/2012
$
3,035,546
$
161,386,870 Membership Interest
161,386,870
$
2/18/2010
$
4,888,718
$
4/15/2010
$
7,066,434
$
9/15/2010
$
60,022,674
$
11/15/2010
$
132,928,628
$
12/14/2010
$
31,689,230
$
1/14/2010
$
27,355,590
$
2/14/2011
$
92,300,138
$
3/14/2011
$
128,027,536
$
4/14/2011
$
155,409,286
$
5/20/2011
$
75,085,485
$
6/14/2011
$
18,259,513
$
7/15/2011
$
62,979,809
$
8/12/2011
$
20,762,532
$
10/17/2011
$
37,384,574
$
12/14/2011
$
7,103,787
$
1/17/2012
$
6,577,144
$
2/14/2012
$
9,610,173
$
Description
Proceeds
5
1/29/2010
Distribution
2/24/2010
Final Distribution
1/29/2010
Distribution
2/24/2010
Final Distribution
3/29/2012
Distribution
8/9/2012
Distribution
9/28/2012
Final Distribution
6/4/2013
Adjusted Distribution
7/8/2013
Distribution
3/29/2012
Distribution
5
$
20,091,872
$
48,922
Debt Obligation w/ Contingent
166,000,000 Proceeds
$
$
Distribution or Disposition
Date
Membership Interest
2/18/2010
3/29/2012
2
Investment After Capital Repayment
Repayment Amount
0
Membership Interest
Debt Obligation w/
1,157,031,282 Proceeds
Debt Obligation w/
1,149,964,848 Proceeds
Debt Obligation w/
1,089,942,174 Proceeds
Debt Obligation w/
957,013,546 Proceeds
Debt Obligation w/
925,324,316 Proceeds
Debt Obligation w/
897,968,726 Proceeds
Debt Obligation w/
805,668,588 Proceeds
Debt Obligation w/
677,641,052 Proceeds
Debt Obligation w/
522,231,766 Proceeds
Debt Obligation w/
447,146,281 Proceeds
Debt Obligation w/
428,886,768 Proceeds
Debt Obligation w/
365,906,960 Proceeds
Debt Obligation w/
345,144,428 Proceeds
Debt Obligation w/
307,759,854 Proceeds
Debt Obligation w/
300,656,067 Proceeds
Debt Obligation w/
294,078,924 Proceeds
Debt Obligation w/
284,468,750 Proceeds
5
5
$
502,302
$
1,223
$
56,390,209
$
1,056,751
$
18,772
$
69,399
$
64,444
$
3,434,460
10
10
10
10
10
10
10
10
10
10
10
10
10
10
10
10
10
10
10
5
5
5
5, 13
5, 14
Contingent
Contingent
Contingent
Contingent
Contingent
Contingent
Contingent
Contingent
Contingent
Contingent
Contingent
Contingent
Contingent
Contingent
Contingent
Contingent
Contingent
5
58
Preliminary Adjusted
Seller
Footnote
Date
Name of Institution
Commitment
City
State
Transaction
Type
Commitment
Amount
Investment Description
Pricing
Mechanism
Date
3
Amount
Final Investment
Final Commitment Amount
Date
7
Amount
Amount
9
Amount
Capital Repayment Details
Repayment
Date
3/14/2012
1
2
1
10/1/2009
10/1/2009
10/2/2009
Wellington Management Legacy Securities PPIF Master Fund, LP
Wellington Management Legacy Securities PPIF Master Fund, LP
AllianceBernstein Legacy Securities Master Fund, L.P.
Wilmington
Wilmington
Wilmington
DE
DE
DE
Purchase
Purchase
Purchase
Membership Interest
Debt Obligation w/ Contingent Proceeds
Membership Interest
$
$
$
1,111,111,111
2,222,222,222
1,111,111,111
Par
Par
Par
3/22/2010 6 $
3/22/2010 6 $
3/22/2010 6 $
1,262,037,500
2,524,075,000
1,244,437,500
7/16/2010
7/16/2010
7/16/2010
$
$
$
1,149,487,000
2,298,974,000
1,150,423,500
$
$
$
1,149,487,000
2,298,974,000
1,064,141,738
AllianceBernstein Legacy Securities Master Fund, L.P.
Wilmington
DE
Purchase
Debt Obligation w/ Contingent Proceeds
$
2,222,222,222
Par
3/22/2010 6 $
2,488,875,000
7/16/2010
$
2,300,847,000
12 $
2,128,000,000
10/2/2009
Blackrock PPIF, L.P.
Wilmington
DE
Purchase
Membership Interest
$
1,111,111,111
Par
3/22/2010 6 $
1,244,437,500
7/16/2010
$
694,980,000
$
528,184,800
284,468,750
$
Description
0
$
1,086,987,313 Membership Interest
9/17/2012
$
152,499,238
$
934,488,075 Membership Interest
1/15/2013
$
254,581,112
$
679,906,963 Membership Interest
2/13/2013
$
436,447,818
$
243,459,145 Membership Interest
3/13/2013
$
243,459,145
$
6/26/2012
$
125,000,000
$
9/17/2012
$
305,000,000
$
12/6/2012
$
800,000,000
$
12/21/2012
$
630,000,000
$
1/15/2013
$
97,494,310
$
1/24/2013
$
341,479,690
$
0
Membership Interest
Debt Obligation w/
2,173,974,000 Proceeds
Debt Obligation w/
1,868,974,000 Proceeds
Debt Obligation w/
1,068,974,000 Proceeds
Debt Obligation w/
438,974,000 Proceeds
Debt Obligation w/
341,479,690 Proceeds
712,284
$
1,063,385,410 Membership Interest
$
1,056,669,083 Membership Interest
1,049,550,694 Membership Interest
4/14/2011
$
7,118,388
$
5/14/2012
$
39,999,800
$
1,009,550,894 Membership Interest
722,452,330 Membership Interest
6/14/2012
$
287,098,565
$
7/16/2012
$
68,749,656
$
653,702,674 Membership Interest
361,248,194
$
292,454,480 Membership Interest
5/16/2011
$
292,454,480
30,244,575
$
$
6/14/2011
$
88,087
$
5/3/2012
$
80,000,000
$
5/14/2012
$
30,000,000
$
5/23/2012
$
500,000,000
$
6/14/2012
$
44,200,000
$
6/25/2012
$
120,000,000
$
7/16/2012
$
17,500,000
$
7/27/2012
$
450,000,000
$
8/14/2012
$
272,500,000
$
8/14/2012
$
$
583,467,339
$
-
7/8/2013
Distribution
5, 13
5, 14
469
$
1,735
$
1,611
10
10
10
10
3/13/2013
7/11/2013
Distribution
Distribution
5
5, 11
$
479,509,240
$
2,802,754
4/17/2013
Distribution
7/11/2013
Distribution
8/30/2012
Distribution
9/12/2012
Distribution
9/19/2012
Distribution
5, 11
5, 11
$
16,195,771
$
69,932
$
75,278,664
10
10
10
10
10
10
10
10
- Membership Interest 10
Debt Obligation w/
2,097,755,425 Proceeds
Debt Obligation w/
2,097,667,339 Proceeds
Debt Obligation w/
2,017,667,339 Proceeds
Debt Obligation w/
1,987,667,339 Proceeds
Debt Obligation w/
1,487,667,339 Proceeds
Debt Obligation w/
1,443,467,339 Proceeds
Debt Obligation w/
1,323,467,339 Proceeds
Debt Obligation w/
1,305,967,339 Proceeds
Debt Obligation w/
855,967,339 Proceeds
Debt Obligation w/
583,467,339 Proceeds
Adjusted Distribution
40,556
$
10
- Contingent Proceeds
6,716,327
$
6/4/2013
5
Contingent
$
$
Final Distribution
Contingent
$
3/14/2011
9/28/2012
$
Contingent
1,064,097,694 Membership Interest
2/14/2011
Proceeds
5
Distribution
Contingent
$
$
Description
8/9/2012
Contingent
44,043
1/15/2010
Distribution or Disposition
Date
Contingent Proceeds
62,499,688
8/22/2012
1
$
Amount
$
8/30/2012
10/2/2009
Repayment Amount
7/16/2012
8/14/2012
2
Investment After Capital Repayment
5, 11
5, 11
5, 11
5, 11
10/1/2012
Distribution
12/21/2012
Distribution
8/13/2013
Distribution Refund
5, 11
$
79,071,633
$
106,300,357
$
25,909,972
$
678,683
$
(18,405)
Contingent
Contingent
Contingent
Contingent
Contingent
Contingent
Contingent
Contingent
Contingent
Contingent
Contingent Proceeds
90,269,076
$
437,915,724 Membership Interest
9/17/2012
$
8,833,632
$
429,082,092 Membership Interest
10/15/2012
$
10,055,653
$
419,026,439 Membership Interest
5, 11
10/3/2012
Distribution
12/21/2012
Distribution
8/13/2013
Distribution Refund
5, 11
$
12,012,957
$
16,967
$
(460)
10
10
10
59
Preliminary Adjusted
Seller
Footnote
Date
Name of Institution
Commitment
City
State
Transaction
Type
Commitment
Amount
Investment Description
Pricing
Mechanism
Date
3
Amount
Final Investment
Final Commitment Amount
Date
7
Amount
Amount
9
Amount
Capital Repayment Details
Repayment
Date
11/5/2012
2
1
10/2/2009
10/30/2009
Blackrock PPIF, L.P.
AG GECC PPIF Master Fund, L.P.
Wilmington
Wilmington
DE
DE
Purchase
Purchase
Debt Obligation w/ Contingent Proceeds
Membership Interest
$
$
2,222,222,222
1,111,111,111
Par
Par
3/22/2010 6 $
3/22/2010 6 $
2,488,875,000
1,271,337,500
7/16/2010
7/16/2010
$
$
1,389,960,000
1,243,275,000
$
$
1,053,000,000
1,117,399,170
7/31/2012
10/30/2009
AG GECC PPIF Master Fund, L.P.
Wilmington
DE
Purchase
Debt Obligation w/ Contingent Proceeds
$
2,222,222,222
Par
3/22/2010 6 $
2,542,675,000
7/16/2010
$
2,486,550,000
$
2,234,798,340
11/4/2009
RLJ Western Asset Public/Private Master Fund, L.P.
Wilmington
DE
Purchase
Membership Interest
$
1,111,111,111
Par
3/22/2010 6 $
1,244,437,500
7/16/2010
$
620,578,258
$
620,578,258
$
$
419,026,439
Amount
$
175,000,000
$
$
5,539,055
$
8/31/2012
$
16,000,000
$
9/17/2012
$
1,667,352
$
9/28/2012
$
35,000,000
$
10/15/2012
$
25,334,218
$
10/18/2012
$
794,459,374
$
Description
Debt Obligation w/
878,000,000 Proceeds
Debt Obligation w/
872,460,945 Proceeds
Debt Obligation w/
856,460,945 Proceeds
Debt Obligation w/
854,793,592 Proceeds
Debt Obligation w/
819,793,592 Proceeds
Debt Obligation w/
794,459,374 Proceeds
- Contingent Proceeds
$
99,462,003
$
930,837,603 Membership Interest
$
74,999,625
$
855,837,978 Membership Interest
7/16/2012
$
18,749,906
$
837,088,072 Membership Interest
8/14/2012
$
68,399,658
$
768,688,414 Membership Interest
9/17/2012
$
124,999,375
$
643,689,039 Membership Interest
10/15/2012
$
240,673,797
$
403,015,242 Membership Interest
11/15/2012
$
45,764,825
$
357,250,417 Membership Interest
12/14/2012
$
24,588,926
$
332,661,491 Membership Interest
1/15/2013
$
30,470,429
$
302,191,061 Membership Interest
2/14/2013
$
295,328,636
$
6,862,425 Membership Interest
$
3/14/2012
$
198,925,000
$
5/14/2012
$
150,000,000
$
7/16/2012
$
37,500,000
$
8/14/2012
$
136,800,000
$
9/17/2012
$
250,000,000
$
10/15/2012
$
481,350,000
$
11/15/2012
$
274,590,324
$
12/14/2012
$
147,534,295
$
1/15/2013
$
182,823,491
$
3/14/2011
$
$
201,075,230
1,202,957
$
$
11/5/2012
Distribution
12/5/2012
Distribution 5, 11
12/6/2013
Distribution
2/21/2013
Distribution
2/27/2013
Distribution
3/14/2013
Distribution
4/19/2013
Distribution
4/25/2013
Distribution
5/29/2013
Distribution 5, 11
9/30/2014
Final Distribution
12/8/2017
Final Distribution
4/19/2013
Distribution
4/25/2013
Distribution
5/29/2013
Distribution 5, 11
9/30/2014
Final Distribution
12/8/2017
Final Distribution
5, 11
57,378,964
$
1,609,739
5, 11
$
8,289,431
$
5, 11
1,433,088
$
141,894
$
184,431,858
10
10
10
10
10
10
10
10
10
10
10
- Membership Interest 10
Debt Obligation w/
2,060,598,340 Proceeds
Debt Obligation w/
1,861,673,340 Proceeds
Debt Obligation w/
1,711,673,340 Proceeds
Debt Obligation w/
1,674,173,340 Proceeds
Debt Obligation w/
1,537,373,340 Proceeds
Debt Obligation w/
1,287,373,340 Proceeds
Debt Obligation w/
806,023,340 Proceeds
Debt Obligation w/
531,433,016 Proceeds
Debt Obligation w/
383,898,721 Proceeds
Debt Obligation w/
201,075,230 Proceeds
Distribution
Contingent
5/14/2012
174,200,000
12/6/2013
297,511,708
$
Contingent
3/14/2012
$
Distribution 5, 11
Contingent
1,030,299,606 Membership Interest
2/14/2012
12/5/2012
Proceeds
$
Contingent
$
$
5, 11
Distribution
Contingent
87,099,565
6,862,425
Description
11/5/2012
Contingent
$
$
Distribution or Disposition
Date
- Membership Interest 10
2/14/2012
2/14/2013
1
Repayment Amount
8/14/2012
2/21/2013
2
Investment After Capital Repayment
5, 11
5, 11
5, 11
5, 11
5, 11
5, 11
5, 16
$
20,999,895
$
156,174,219
$
105,620,441
$
42,099,442
$
49,225,244
$
1,748,833
$
510,899
$
17,118,005
$
1,052,497
$
1,230,643
$
41,556
$
12,773
Contingent
Contingent
Contingent
Contingent
Contingent
Contingent
Contingent
Contingent
Contingent
Contingent
- Contingent Proceeds
619,375,301 Membership Interest
5, 11
5, 11
5, 11
5, 16
10
60
Preliminary Adjusted
Seller
Footnote
Date
Name of Institution
Commitment
City
State
Transaction
Type
Commitment
Amount
Investment Description
Pricing
Mechanism
Date
3
Amount
Final Investment
Final Commitment Amount
Date
7
Amount
Amount
9
Amount
Capital Repayment Details
Repayment
Date
RLJ Western Asset Public/Private Master Fund, L.P.
Wilmington
DE
Purchase
Debt Obligation w/ Contingent Proceeds
$
2,222,222,222
Par
3/22/2010 6 $
2,488,875,000
7/16/2010
$
1,241,156,516
$
1,241,000,000
11/25/2009
Marathon Legacy Securities Public-Private Investment Partnership, L.P.
Wilmington
DE
Purchase
Membership Interest
$
1,111,111,111
Par
3/22/2010 6 $
1,244,437,500
7/16/2010
$
474,550,000
$
474,550,000
615,853,465 Membership Interest
8/14/2012
$
104,959,251
$
510,894,215 Membership Interest
9/17/2012
$
72,640,245
$
438,253,970 Membership Interest
9/28/2012
$
180,999,095
$
257,254,875 Membership Interest
10/15/2012
$
134,999,325
$
122,255,550 Membership Interest
11/25/2009
Marathon Legacy Securities Public-Private Investment Partnership, L.P.
Wilmington
DE
Purchase
Debt Obligation w/ Contingent Proceeds
$
2,222,222,222
Par
3/22/2010 6 $
2,488,875,000
7/16/2010
$
949,100,000
$
949,000,000
12/18/2009
Oaktree PPIP Fund, L.P.
Wilmington
DE
Purchase
Membership Interest
$
1,111,111,111
Par
3/22/2010 6 $
1,244,437,500
7/16/2010
$
1,160,784,100
$
555,904,633
122,255,550
$
$
13,531,530
$
7/31/2012
$
618,750,000
$
8/9/2012
$
151,006,173
$
8/14/2012
$
11,008,652
$
8/23/2012
$
160,493,230
$
8/29/2012
$
103,706,836
$
9/17/2012
$
20,637,410
$
$
161,866,170
$
Debt Obligation w/
1,227,468,470 Proceeds
Debt Obligation w/
608,718,470 Proceeds
Debt Obligation w/
457,712,297 Proceeds
Debt Obligation w/
446,703,645 Proceeds
Debt Obligation w/
286,210,415 Proceeds
Debt Obligation w/
182,503,579 Proceeds
Debt Obligation w/
161,866,170 Proceeds
- Contingent Proceeds
$
340,262,914 Membership Interest
12/14/2012
$
40,459,092
$
299,803,821 Membership Interest
1/15/2013
$
10,409,317
$
289,394,504 Membership Interest
1/30/2013
$
219,998,900
$
69,395,604 Membership Interest
2/25/2013
$
39,026,406
$
30,369,198 Membership Interest
11/15/2012
$
119,575,516
$
11/20/2012
$
195,000,000
$
12/14/2012
$
47,755,767
$
1/15/2013
$
62,456,214
$
$
375,212,503
$
10
-
Distribution
11/2/2012
Distribution
12/21/2012
Distribution
12/11/2013
Final Distribution
1/28/2015
Distribution
10/19/2012
Distribution
11/2/2012
Distribution
12/21/2012
Distribution
12/11/2013
Final Distribution
1/28/2015
Distribution
3/25/2013
Distribution
4/16/2013
Distribution
5/16/2013
Distribution
7/11/2013
Distribution
9/5/2013
Distribution
12/27/2013
Distribution
4/16/2013
Distribution
5/16/2013
Distribution
7/11/2013
Distribution
9/5/2013
Distribution
12/27/2013
Distribution
5, 11
5, 11
5, 11
5, 15
$
147,464,888
$
148,749,256
$
549,997
$
75,372
$
61,767
5, 11
5, 11
$
6,789,287
$
5, 11
3,718,769
$
5, 15
5, 11
13,750
$
1,884
$
1,544
10
10
10
10
10
10
- Membership Interest 10
Debt Obligation w/
800,000,000 Proceeds
Debt Obligation w/
680,424,484 Proceeds
Debt Obligation w/
485,424,484 Proceeds
Debt Obligation w/
437,668,717 Proceeds
Debt Obligation w/
375,212,503 Proceeds
5, 11
10/19/2012
Contingent
59,787,459
$
10
Contingent
$
149,000,000
10
Contingent
11/15/2012
$
10
Contingent
400,050,373 Membership Interest
9/17/2012
Proceeds
Contingent
$
$
Description
Contingent
74,499,628
30,369,198
Date
Contingent
$
$
Distribution or Disposition
10
- Membership Interest 10
9/17/2012
1/24/2013
1
$
5/13/2011
3/25/2013
2
Description
$
9/21/2012
1
Amount
3,521,835
10/19/2012
11/4/2009
Repayment Amount
$
4/14/2011
2
Investment After Capital Repayment
5, 11
5, 11
5, 11
5, 11
5, 11
5, 11
$
164,629,827
$
71,462,104
$
38,536,072
$
29,999,850
$
3,999,980
$
5,707,723
Contingent
Contingent
Contingent
Contingent
Contingent
Contingent Proceeds
7/15/2011
$
39,499,803
$
516,404,830 Membership Interest
3/14/2012
$
39,387,753
$
477,017,077 Membership Interest
9/17/2012
$
22,111,961
$
454,905,116 Membership Interest
5, 11
5, 11
5, 11
5, 11
5, 11
$
7,143,340
$
963,411
$
750,004
$
100,001
$
142,168
10
10
10
61
Preliminary Adjusted
Seller
Footnote
Date
Name of Institution
Commitment
City
State
Transaction
Type
Commitment
Amount
Investment Description
Pricing
Mechanism
Date
3
Amount
Final Investment
Final Commitment Amount
Date
7
Amount
Amount
9
Amount
Capital Repayment Details
Repayment
Date
12/18/2009
Oaktree PPIP Fund, L.P.
Wilmington
DE
Purchase
Debt Obligation w/ Contingent Proceeds
$
2,222,222,222
Par
3/22/2010 6 $
2,488,875,000
7/16/2010
$
2,321,568,200
$
1,111,000,000
$
30,000,000,000
FINAL COMMITMENT AMOUNT
$
Amount
Description
$
32,496,972
$
422,408,144 Membership Interest
11/15/2012
$
111,539,536
$
310,868,608 Membership Interest
12/14/2012
$
55,540,026
$
255,328,581 Membership Interest
1/15/2013
$
14,849,910
$
240,478,671 Membership Interest
4/12/2013
$
18,268,328
$
222,210,343 Membership Interest
5/14/2013
$
70,605,973
$
151,604,370 Membership Interest
5/28/2013
$
119,769,362
$
31,835,008 Membership Interest
$
31,835,008
$
7/15/2011
$
79,000,000
$
3/14/2012
$
78,775,901
$
9/17/2012
$
44,224,144
$
10/15/2012
$
64,994,269
$
11/15/2012
$
223,080,187
$
12/14/2012
$
111,080,608
$
1/15/2013
$
89,099,906
$
4/12/2013
$
109,610,516
$
5/14/2013
INITIAL COMMITMENT AMOUNT
Repayment Amount
10/15/2012
6/3/2013
2
Investment After Capital Repayment
$
311,134,469
21,856,403,574
$
Date
Description
10
10
10
10
10
10
5, 11
6/3/2013
Distribution
6/14/2013
Distribution
6/24/2013
Distribution
6/26/2013
Distribution
7/9/2013
Distribution 5, 11
12/12/2013
Final Distribution
5/28/2013
Distribution
6/3/2013
Distribution
6/14/2013
Distribution
6/24/2013
Distribution
6/26/2013
Distribution
7/9/2013
Distribution 5, 11
12/12/2013
Final Distribution
5, 11
5, 11
5, 11
5, 11
$
46,575,750
$
54,999,725
$
27,999,860
$
11,749,941
$
40,974,795
$
539,009
Contingent
Contingent
Contingent
Contingent
Contingent
Contingent
Contingent
Contingent
- Contingent Proceeds
5, 11
5, 11
5, 11
5, 11
5, 11
5, 11
TOTAL DISTRIBUTIONS 5
TOTAL CAPITAL REPAYMENT AMOUNT $
Proceeds
10
- Membership Interest 10
Debt Obligation w/
1,032,000,000 Proceeds
Debt Obligation w/
953,224,099 Proceeds
Debt Obligation w/
908,999,956 Proceeds
Debt Obligation w/
844,005,687 Proceeds
Debt Obligation w/
620,925,500 Proceeds
Debt Obligation w/
509,844,892 Proceeds
Debt Obligation w/
420,744,985 Proceeds
Debt Obligation w/
311,134,469 Proceeds
Distribution or Disposition
$
444,393
$
1,960,289
$
1,375,007
$
700,004
$
293,751
$
1,024,380
$
13,475
$
2,645,693,294
18,625,147,938
1/ The equity amount may be incrementally funded. Commitment amount represents Treasury's maximum obligation if the limited partners other than Treasury fund their maximum equity capital obligations.
2/ The loan may be incrementally funded. Commitment amount represents Treasury's maximum obligation if Treasury and the limited partners other than Treasury fund 100% of their maximum equity obligations.
3/ Adjusted to show Treasury's maximum obligations to a fund.
4/ On 1/4/2010, Treasury and the fund manager entered into a Winding-Up and Liquidation Agreement.
5/ Distributions after capital repayments will be considered profit and are paid pro rata (subject to prior distribution of Contingent Proceeds to Treasury) to the fund's partners, including Treasury, in proportion to their membership interests. These figures exclude pro-rata distributions to Treasury of gross investment proceeds (reported on the Dividends & Interest report), which may be made from time to time in accordance with the terms of the fund's Limited Partnership Agreement.
6/ Following termination of the TCW fund, the $3.33 billion of obligations have been reallocated to the remaining eight funds pursuant to consent letters from Treasury dated as of 3/22/2010. $133 million of maximum equity capital obligation and $267 million of maximum debt obligation were reallocated per fund, after adjustment for the $17.6 million and $26.9 million equity capital reallocations from private investors in the TCW fund to the Wellington fund and the AG GECC fund, respectively. The $356
million of final investment in the TCW fund will remain a part of Treasury's total maximum S-PPIP investment amount.
7/ Amount adjusted to show Treasury's final capital commitment (membership interest) and the maximum amount of Treasury's debt obligation that may be drawn down in accordance with the Loan Agreement.
8/ On 09/26/2011, the General Partner notified Treasury that the Investment Period was terminated in accordance with the Limited Partnership Agreement. As a result, the Final Investment Amount, representing Treasury's debt obligation, has been reduced to the cumulative amount of debt funded.
9/ Cumulative capital drawn at end of the Investment Period.
10/ The Amount is adjusted to reflect pro-rata equity distributions that have been deemed to be capital repayments to Treasury.
11/ Distribution represents a gain on funded capital and is subject to revision pending any additional fundings of the outstanding commitment.
12/ On 08/23/2012, AllianceBernstein agreed to de-obligate its unused debt commitment. The Final Investment Amount represents the cumulative capital drawn as of the de-obligation.
13/ On, 6/5/2013, Invesco Mortgage Recovery Master Fund L.P. made a distribution to Treasury that is the result of adjustments made to positions previously held by the Invesco Legacy Securities Master Fund, L.P. “Partnership”, of which The U.S. Department of the Treasury is a Limited Partner. The adjusted distribution was made 18 months after the Final Distribution on 9/28/2012.
14/ On 7/8/2013, Invesco Mortgage Recovery Master Fund L.P. made a distribution to Treasury arising from the Settlement Agreement between Jefferies LLC and Invesco Advisers, Inc. dated as of 3/20/2013.
15/ On 1/28/2015, Western Asset Management Company made a distribution to Treasury in respect of certain settlement proceeds.
16/ On 12/8/2017, AG GECC PPIF Master Fund, L.P. made a distribution to Treasury in respect of certain settlement proceeds.
62
U.S. Treasury Department
Office of Financial Stability
Troubled Asset Relief Program
Transactions Report - Housing Programs
For Period Ending 12/27/2017
MAKING HOME AFFORDABLE PROGRAM
Servicer Modifying Borrowers' Loans
Date
Name of Institution
03/14/2013 21st Mortgage Corporation
City
Knoxville
Adjustment Details
State
TN
Transaction
Type
Purchase
Investment Description
Financial Instrument for Home Loan Modifications
Cap of Incentive Payments on
Behalf of Borrowers and to
Servicers & Lenders/Investors
(Cap) *
Pricing
Mechanism
- N/A
Note
3
Adjustment
Date
CAP Adjustment Amount
09/11/2009
Allstate Mortgage Loans &
Investments, Inc.
Columbia
Ocala
SC
FL
Purchase
Purchase
Financial Instrument for Home Loan Modifications
Financial Instrument for Home Loan Modifications
$
$
100,000 N/A
250,000 N/A
Reason for Adjustment
03/14/2013
$
130,000
$
130,000 Transfer of cap due to servicing transfer
03/25/2013
$
(1)
$
129,999 Updated due to quarterly assessment and reallocation
12/16/2013
$
30,000
$
159,999 Transfer of cap due to servicing transfer
12/23/2013
$
(96)
$
159,903 Updated due to quarterly assessment and reallocation
01/16/2014
$
180,000
$
339,903 Transfer of cap due to servicing transfer
03/26/2014
$
(20)
$
04/16/2014
$
10,000,000
$
10,339,883 Transfer of cap due to servicing transfer
06/16/2014
$
190,000
$
10,529,883 Transfer of cap due to servicing transfer
06/26/2014
$
(3,148)
$
10,526,735 Updated due to quarterly assessment and reallocation
07/29/2014
$
(6,175)
$
10,520,560 Updated due to quarterly assessment and reallocation
08/14/2014
$
50,000
$
10,570,560 Transfer of cap due to servicing transfer
09/16/2014
$
130,000
$
10,700,560 Transfer of cap due to servicing transfer
09/29/2014
$
(2,146)
$
10,698,414 Updated due to quarterly assessment and reallocation
11/14/2014
$
50,000
$
10,748,414 Transfer of cap due to servicing transfer
12/29/2014
$
3,463,801
$
14,212,215 Updated due to quarterly assessment and reallocation
01/15/2015
$
40,000
$
14,252,215 Transfer of cap due to servicing transfer
03/26/2015
$
81,081
$
14,333,296 Updated due to quarterly assessment and reallocation
04/16/2015
$
50,000
$
14,383,296 Transfer of cap due to servicing transfer
04/28/2015
$
(66,521)
$
14,316,775 Updated due to quarterly assessment and reallocation
06/25/2015
$
41,868
$
14,358,643 Updated due to quarterly assessment and reallocation
09/28/2015
$
312,942
$
14,671,585 Updated due to quarterly assessment and reallocation
12/28/2015
$
(60,789)
$
14,610,796 Updated due to quarterly assessment and reallocation
02/25/2016
$
(496,519)
$
14,114,277 Reallocation due to MHA program deobligation
03/28/2016
$
(11,842)
$
14,102,435 Updated due to quarterly assessment and reallocation
05/16/2016
$
3,230,000
$
17,332,435 Transfer of cap due to servicing transfer
05/31/2016
$
(783,708)
$
16,548,727 Updated due to quarterly assessment and reallocation
06/27/2016
$
(410,835)
$
16,137,892 Updated due to quarterly assessment and reallocation
07/27/2016
$
(312,795)
$
15,825,097 Updated due to quarterly assessment and reallocation
09/28/2016
$
(78,149)
$
15,746,948 Updated due to quarterly assessment and reallocation
10/25/2016
$
89,687
$
15,836,635 Updated due to quarterly assessment and reallocation
-
$
15,836,635 Updated due to quarterly assessment and reallocation
(4,440)
$
15,832,195 Updated due to quarterly assessment and reallocation
11/07/2016
09/30/2010 AgFirst Farm Credit Bank
Adjusted CAP
339,883 Updated due to quarterly assessment and reallocation
11/29/2016
$
12/27/2016
$
(891)
$
15,831,304 Transfer of cap due to servicing transfer
02/27/2017
$
(5,588)
$
15,825,716 Transfer of cap due to servicing transfer
04/26/2017
$
(829)
$
15,824,887 Transfer of cap due to servicing transfer
06/26/2017
$
(10,263)
$
15,814,624 Transfer of cap due to servicing transfer
07/26/2017
$
(317)
$
15,814,307 Updated due to quarterly assessment and reallocation
09/26/2017
$
(35,138)
$
15,779,169 Transfer of cap due to servicing transfer
10/26/2017
$
(22,727)
$
15,756,442 Transfer of cap due to servicing transfer
12/21/2017
$
(29,624)
$
15,726,818 Transfer of cap due to servicing transfer
09/30/2010
$
45,056
$
145,056 Updated portfolio data from servicer
03/23/2011
$
(145,056)
10/02/2009
$
60,000
$
310,000 Updated portfolio data from servicer/additional program initial cap
- Termination of SPA
12/30/2009
$
(80,000)
$
230,000 Updated portfolio data from servicer/additional program initial cap
03/26/2010
$
280,000
$
510,000 Updated portfolio data from servicer
07/14/2010
$
(410,000)
$
100,000 Updated portfolio data from servicer
09/30/2010
$
45,056
$
145,056 Updated portfolio data from servicer
06/29/2011
$
(1)
$
145,055 Updated due to quarterly assessment and reallocation
06/28/2012
$
(1)
$
145,054 Updated due to quarterly assessment and reallocation
09/27/2012
$
(2)
$
145,052 Updated due to quarterly assessment and reallocation
03/25/2013
$
(1)
$
145,051 Updated due to quarterly assessment and reallocation
12/23/2013
$
(232)
$
144,819 Updated due to quarterly assessment and reallocation
03/26/2014
$
(8)
$
144,811 Updated due to quarterly assessment and reallocation
06/26/2014
$
(96)
$
144,715 Updated due to quarterly assessment and reallocation
07/29/2014
$
(191)
$
144,524 Updated due to quarterly assessment and reallocation
09/29/2014
$
(63)
$
144,461 Updated due to quarterly assessment and reallocation
12/29/2014
$
(7,654)
$
136,807 Updated due to quarterly assessment and reallocation
03/26/2015
$
(2,879)
$
133,928 Updated due to quarterly assessment and reallocation
04/28/2015
$
(11,347)
$
122,581 Updated due to quarterly assessment and reallocation
06/25/2015
$
(2,691)
$
119,890 Updated due to quarterly assessment and reallocation
09/28/2015
$
(3,595)
$
116,295 Updated due to quarterly assessment and reallocation
12/28/2015
$
(2,660)
$
113,635 Updated due to quarterly assessment and reallocation
63
Servicer Modifying Borrowers' Loans
Date
Name of Institution
08/14/2014 Ally Bank
09/30/2010 Amarillo National Bank
City
Midvale
Amarillo
Adjustment Details
State
UT
TX
Transaction
Type
Purchase
Purchase
Investment Description
Cap of Incentive Payments on
Behalf of Borrowers and to
Servicers & Lenders/Investors
(Cap) *
Financial Instrument for Home Loan Modifications
Financial Instrument for Home Loan Modifications
Pricing
Mechanism
- N/A
$
100,000 N/A
Note
3
Adjustment
Date
CAP Adjustment Amount
Adjusted CAP
Reason for Adjustment
02/25/2016
$
(7,597)
$
106,038 Reallocation due to MHA program deobligation
03/28/2016
$
(159)
$
105,879 Updated due to quarterly assessment and reallocation
05/31/2016
$
(1,242)
$
104,637 Updated due to quarterly assessment and reallocation
06/27/2016
$
(742)
$
103,895 Updated due to quarterly assessment and reallocation
07/27/2016
$
(742)
$
103,153 Updated due to quarterly assessment and reallocation
09/28/2016
$
(1,298)
$
101,855 Updated due to quarterly assessment and reallocation
10/25/2016
$
(1,226)
$
100,629 Updated due to quarterly assessment and reallocation
11/07/2016
$
472
$
101,101 Updated due to quarterly assessment and reallocation
11/29/2016
$
(8)
$
101,093 Updated due to quarterly assessment and reallocation
12/27/2016
$
(1)
$
101,092 Transfer of cap due to servicing transfer
02/27/2017
$
(22)
$
101,070 Transfer of cap due to servicing transfer
04/26/2017
$
(1)
$
101,069 Transfer of cap due to servicing transfer
06/26/2017
$
(11)
$
101,058 Transfer of cap due to servicing transfer
09/26/2017
$
(453)
$
100,605 Transfer of cap due to servicing transfer
10/26/2017
$
(56)
$
100,549 Transfer of cap due to servicing transfer
12/21/2017
$
(58)
$
100,491 Transfer of cap due to servicing transfer
08/14/2014
$
7,600,000
$
7,600,000 Transfer of cap due to servicing transfer
09/29/2014
$
(1,152)
$
7,598,848 Updated due to quarterly assessment and reallocation
12/29/2014
$
1,832,887
$
9,431,735 Updated due to quarterly assessment and reallocation
01/15/2015
$
70,000
$
9,501,735 Transfer of cap due to servicing transfer
02/13/2015
$
110,000
$
9,611,735 Transfer of cap due to servicing transfer
03/26/2015
$
(3,238)
$
9,608,497 Updated due to quarterly assessment and reallocation
04/28/2015
$
(34,544)
$
9,573,953 Updated due to quarterly assessment and reallocation
06/25/2015
$
(29,284)
$
9,544,669 Updated due to quarterly assessment and reallocation
08/14/2015
$
(3,800,000)
$
5,744,669 Transfer of cap due to servicing transfer
09/28/2015
$
(165,135)
$
5,579,534 Updated due to quarterly assessment and reallocation
10/15/2015
$
(400,000)
$
5,179,534 Transfer of cap due to servicing transfer
12/28/2015
$
(164,461)
$
5,015,073 Updated due to quarterly assessment and reallocation
02/25/2016
$
(616,326)
$
4,398,747 Reallocation due to MHA program deobligation
03/16/2016
$
10,000
$
4,408,747 Transfer of cap due to servicing transfer
03/28/2016
$
(13,035)
$
05/16/2016
$
40,840,000
$
45,235,712 Transfer of cap due to servicing transfer
4,395,712 Updated due to quarterly assessment and reallocation
05/31/2016
$
(8,732,825)
$
36,502,887 Updated due to quarterly assessment and reallocation
06/27/2016
$
(5,217,732)
$
31,285,155 Updated due to quarterly assessment and reallocation
07/27/2016
$
(5,232,216)
$
26,052,939 Updated due to quarterly assessment and reallocation
09/28/2016
$
(9,089,410)
$
16,963,529 Updated due to quarterly assessment and reallocation
10/25/2016
$
(8,559,156)
$
8,404,373 Updated due to quarterly assessment and reallocation
11/07/2016
$
3,299,856
$
11,704,229 Updated due to quarterly assessment and reallocation
11/29/2016
$
(59,082)
$
11,645,147 Updated due to quarterly assessment and reallocation
12/27/2016
$
(8,840)
$
11,636,307 Transfer of cap due to servicing transfer
02/27/2017
$
(147,573)
$
11,488,734 Transfer of cap due to servicing transfer
04/26/2017
$
(9,590)
$
11,479,144 Transfer of cap due to servicing transfer
06/26/2017
$
(72,677)
$
11,406,467 Transfer of cap due to servicing transfer
07/26/2017
$
(2,280)
$
11,404,187 Updated due to quarterly assessment and reallocation
09/26/2017
$
(2,890,647)
$
8,513,540 Transfer of cap due to servicing transfer
10/26/2017
$
(360,546)
$
8,152,994 Transfer of cap due to servicing transfer
12/21/2017
$
(378,547)
$
7,774,447 Transfer of cap due to servicing transfer
09/30/2010
$
45,056
$
145,056 Updated portfolio data from servicer
06/29/2011
$
(1)
$
145,055 Updated due to quarterly assessment and reallocation
06/28/2012
$
(1)
$
145,054 Updated due to quarterly assessment and reallocation
09/27/2012
$
(2)
$
145,052 Updated due to quarterly assessment and reallocation
03/25/2013
$
(1)
$
145,051 Updated due to quarterly assessment and reallocation
12/23/2013
$
(232)
$
144,819 Updated due to quarterly assessment and reallocation
03/26/2014
$
(8)
$
144,811 Updated due to quarterly assessment and reallocation
06/26/2014
$
(96)
$
144,715 Updated due to quarterly assessment and reallocation
07/29/2014
$
(191)
$
144,524 Updated due to quarterly assessment and reallocation
09/29/2014
$
(63)
$
144,461 Updated due to quarterly assessment and reallocation
12/29/2014
$
(7,654)
$
136,807 Updated due to quarterly assessment and reallocation
03/26/2015
$
(2,879)
$
133,928 Updated due to quarterly assessment and reallocation
04/28/2015
$
(11,347)
$
122,581 Updated due to quarterly assessment and reallocation
06/25/2015
$
(2,691)
$
119,890 Updated due to quarterly assessment and reallocation
09/28/2015
$
(3,595)
$
116,295 Updated due to quarterly assessment and reallocation
12/28/2015
$
(2,660)
$
113,635 Updated due to quarterly assessment and reallocation
02/25/2016
$
(7,597)
$
106,038 Reallocation due to MHA program deobligation
03/28/2016
$
(159)
$
105,879 Updated due to quarterly assessment and reallocation
05/31/2016
$
(1,242)
$
104,637 Updated due to quarterly assessment and reallocation
06/27/2016
$
(742)
$
103,895 Updated due to quarterly assessment and reallocation
07/27/2016
$
(742)
$
103,153 Updated due to quarterly assessment and reallocation
09/28/2016
$
(1,298)
$
101,855 Updated due to quarterly assessment and reallocation
64
Servicer Modifying Borrowers' Loans
Date
Name of Institution
07/16/2014 Ameriana Bank
12/09/2009
09/24/2010
09/30/2010
American Eagle Federal Credit
Union
City
Investment Description
IN
Purchase
Financial Instrument for Home Loan Modifications
East Hartford
CT
Purchase
Financial Instrument for Home Loan Modifications
Pasadena
American Financial Resources
Inc
Parsippany
05/21/2010 Aurora Financial Group, Inc.
Transaction
Type
New Castle
American Finance House
LARIBA
04/16/2015 Apex Bank (Bank of Camden)
Adjustment Details
State
Knoxville
Marlton
CA
NJ
TN
NJ
Purchase
Purchase
Purchase
Purchase
Financial Instrument for Home Loan Modifications
Financial Instrument for Home Loan Modifications
Cap of Incentive Payments on
Behalf of Borrowers and to
Servicers & Lenders/Investors
(Cap) *
- N/A
$
$
$
Financial Instrument for Home Loan Modifications
Financial Instrument for Home Loan Modifications
Pricing
Mechanism
3
1,590,000 N/A
100,000 N/A
100,000 N/A
- N/A
$
Note
10,000 N/A
3
Adjustment
Date
CAP Adjustment Amount
Adjusted CAP
Reason for Adjustment
10/25/2016
$
(1,226)
$
100,629 Updated due to quarterly assessment and reallocation
11/07/2016
$
472
$
101,101 Updated due to quarterly assessment and reallocation
11/29/2016
$
(8)
$
101,093 Updated due to quarterly assessment and reallocation
12/27/2016
$
(1)
$
101,092 Transfer of cap due to servicing transfer
02/27/2017
$
(22)
$
101,070 Transfer of cap due to servicing transfer
04/26/2017
$
(1)
$
101,069 Transfer of cap due to servicing transfer
06/15/2017
$
(101,069)
07/16/2014
$
60,000
$
60,000 Transfer of cap due to servicing transfer
01/13/2017
$
(10,000)
$
01/22/2010
$
70,000
$
1,660,000 Updated portfolio data from servicer/additional program initial cap
03/26/2010
$
(290,000)
$
1,370,000 Updated portfolio data from servicer
07/14/2010
$
(570,000)
$
800,000 Updated portfolio data from servicer
09/30/2010
$
70,334
$
870,334 Updated portfolio data from servicer
01/06/2011
$
(1)
$
870,333 Updated due to quarterly assessment and reallocation
03/30/2011
$
(1)
$
870,332 Updated due to quarterly assessment and reallocation
06/29/2011
$
(13)
$
870,319 Updated due to quarterly assessment and reallocation
01/25/2012
$
(870,319)
09/30/2010
$
45,056
$
145,056 Updated portfolio data from servicer
02/02/2011
$
(145,056)
09/30/2010
$
45,056
$
145,056 Updated portfolio data from servicer
- Termination of SPA
50,000 Transfer of cap due to servicing transfer
- Termination of SPA
- Termination of SPA
06/29/2011
$
(1)
$
145,055 Updated due to quarterly assessment and reallocation
06/28/2012
$
(1)
$
145,054 Updated due to quarterly assessment and reallocation
09/27/2012
$
(2)
$
145,052 Updated due to quarterly assessment and reallocation
03/25/2013
$
(1)
$
145,051 Updated due to quarterly assessment and reallocation
12/23/2013
$
(232)
$
144,819 Updated due to quarterly assessment and reallocation
03/26/2014
$
(8)
$
144,811 Updated due to quarterly assessment and reallocation
06/26/2014
$
(96)
$
144,715 Updated due to quarterly assessment and reallocation
07/29/2014
$
(191)
$
144,524 Updated due to quarterly assessment and reallocation
09/29/2014
$
(63)
$
144,461 Updated due to quarterly assessment and reallocation
12/29/2014
$
(7,654)
$
136,807 Updated due to quarterly assessment and reallocation
03/26/2015
$
(2,879)
$
133,928 Updated due to quarterly assessment and reallocation
04/28/2015
$
(11,347)
$
122,581 Updated due to quarterly assessment and reallocation
06/25/2015
$
(2,691)
$
119,890 Updated due to quarterly assessment and reallocation
09/28/2015
$
(3,595)
$
116,295 Updated due to quarterly assessment and reallocation
12/28/2015
$
(2,660)
$
113,635 Updated due to quarterly assessment and reallocation
02/25/2016
$
(7,597)
$
106,038 Reallocation due to MHA program deobligation
03/28/2016
$
(159)
$
105,879 Updated due to quarterly assessment and reallocation
05/31/2016
$
(1,242)
$
104,637 Updated due to quarterly assessment and reallocation
06/27/2016
$
(742)
$
103,895 Updated due to quarterly assessment and reallocation
07/27/2016
$
(742)
$
103,153 Updated due to quarterly assessment and reallocation
09/28/2016
$
(1,298)
$
101,855 Updated due to quarterly assessment and reallocation
10/25/2016
$
(1,226)
$
100,629 Updated due to quarterly assessment and reallocation
11/07/2016
$
472
$
101,101 Updated due to quarterly assessment and reallocation
11/29/2016
$
(8)
$
101,093 Updated due to quarterly assessment and reallocation
12/27/2016
$
(1)
$
101,092 Transfer of cap due to servicing transfer
02/27/2017
$
(22)
$
101,070 Transfer of cap due to servicing transfer
04/26/2017
$
(1)
$
101,069 Transfer of cap due to servicing transfer
06/15/2017
$
(101,069)
04/16/2015
$
20,000
$
20,000 Transfer of cap due to servicing transfer
07/14/2016
$
120,000
$
140,000 Transfer of cap due to servicing transfer
07/27/2016
$
(7,437)
$
132,563 Updated due to quarterly assessment and reallocation
09/28/2016
$
(13,404)
$
119,159 Updated due to quarterly assessment and reallocation
10/25/2016
$
(12,666)
$
106,493 Updated due to quarterly assessment and reallocation
11/07/2016
$
4,883
$
111,376 Updated due to quarterly assessment and reallocation
11/29/2016
$
(88)
$
111,288 Updated due to quarterly assessment and reallocation
12/15/2016
$
30,000
$
141,288 Transfer of cap due to servicing transfer
12/27/2016
$
(49)
$
141,239 Transfer of cap due to servicing transfer
02/27/2017
$
(849)
$
140,390 Transfer of cap due to servicing transfer
04/26/2017
$
(56)
$
140,334 Transfer of cap due to servicing transfer
06/26/2017
$
(428)
$
139,906 Transfer of cap due to servicing transfer
07/26/2017
$
(13)
$
139,893 Updated due to quarterly assessment and reallocation
09/26/2017
$
(17,069)
$
122,824 Transfer of cap due to servicing transfer
10/26/2017
$
(2,117)
$
120,707 Transfer of cap due to servicing transfer
12/21/2017
$
(2,205)
$
118,502 Transfer of cap due to servicing transfer
05/26/2010
$
30,000
$
09/30/2010
$
250,111
$
290,111 Updated portfolio data from servicer
06/29/2011
$
59,889
$
350,000 Updated due to quarterly assessment and reallocation
06/28/2012
$
(2)
$
349,998 Updated due to quarterly assessment and reallocation
09/27/2012
$
(5)
$
349,993 Updated due to quarterly assessment and reallocation
- Termination of SPA
40,000 Updated portfolio data from servicer/additional program initial cap
65
Servicer Modifying Borrowers' Loans
Date
Name of Institution
05/01/2009 Aurora Loan Services, LLC
City
Littleton
Adjustment Details
State
CO
Transaction
Type
Purchase
Investment Description
Financial Instrument for Home Loan Modifications
Cap of Incentive Payments on
Behalf of Borrowers and to
Servicers & Lenders/Investors
(Cap) *
$
Pricing
Mechanism
Note
798,000,000 N/A
11
03/03/2010 Axiom Bank (Urban Trust Bank) Lake Mary
FL
Purchase
Financial Instrument for Home Loan Modifications
$
1,060,000 N/A
3
09/30/2010 Banco Popular de Puerto Rico
San Juan
PR
Purchase
Financial Instrument for Home Loan Modifications
$
1,700,000 N/A
Adjustment
Date
CAP Adjustment Amount
Adjusted CAP
Reason for Adjustment
12/27/2012
$
(1)
$
349,992 Updated due to quarterly assessment and reallocation
03/25/2013
$
(3)
$
349,989 Updated due to quarterly assessment and reallocation
06/27/2013
$
(1)
$
349,988 Updated due to quarterly assessment and reallocation
12/23/2013
$
(759)
$
349,229 Updated due to quarterly assessment and reallocation
03/26/2014
$
(27)
$
349,202 Updated due to quarterly assessment and reallocation
06/26/2014
$
(315)
$
348,887 Updated due to quarterly assessment and reallocation
07/29/2014
$
(625)
$
348,262 Updated due to quarterly assessment and reallocation
09/29/2014
$
(207)
$
348,055 Updated due to quarterly assessment and reallocation
12/29/2014
$
(3,496)
$
344,559 Updated due to quarterly assessment and reallocation
03/16/2015
$
(210,000)
$
134,559 Transfer of cap due to servicing transfer
03/26/2015
$
(2,703)
$
131,856 Updated due to quarterly assessment and reallocation
04/28/2015
$
(10,654)
$
121,202 Updated due to quarterly assessment and reallocation
06/25/2015
$
(2,527)
$
118,675 Updated due to quarterly assessment and reallocation
09/28/2015
$
(3,375)
$
115,300 Updated due to quarterly assessment and reallocation
12/28/2015
$
(2,498)
$
112,802 Updated due to quarterly assessment and reallocation
02/25/2016
$
(7,133)
$
105,669 Reallocation due to MHA program deobligation
03/28/2016
$
(149)
$
105,520 Updated due to quarterly assessment and reallocation
05/31/2016
$
(1,166)
$
104,354 Updated due to quarterly assessment and reallocation
06/27/2016
$
(697)
$
103,657 Updated due to quarterly assessment and reallocation
07/27/2016
$
(697)
$
102,960 Updated due to quarterly assessment and reallocation
09/28/2016
$
(1,218)
$
101,742 Updated due to quarterly assessment and reallocation
10/25/2016
$
(1,152)
$
100,590 Updated due to quarterly assessment and reallocation
11/07/2016
$
444
$
101,034 Updated due to quarterly assessment and reallocation
11/29/2016
$
(8)
$
101,026 Updated due to quarterly assessment and reallocation
12/27/2016
$
(1)
$
101,025 Transfer of cap due to servicing transfer
02/27/2017
$
(21)
$
101,004 Transfer of cap due to servicing transfer
04/26/2017
$
(1)
$
101,003 Transfer of cap due to servicing transfer
06/26/2017
$
(11)
$
100,992 Transfer of cap due to servicing transfer
09/26/2017
$
(424)
$
100,568 Transfer of cap due to servicing transfer
10/26/2017
$
(53)
$
100,515 Transfer of cap due to servicing transfer
12/21/2017
$
(55)
$
06/17/2009
$
(338,450,000)
$
459,550,000 Updated portfolio data from servicer
09/30/2009
$
(11,860,000)
$
447,690,000 Updated portfolio data from servicer/additional program initial cap
12/30/2009
$
21,330,000
$
469,020,000 Updated portfolio data from servicer/additional program initial cap
03/26/2010
$
9,150,000
$
478,170,000 Updated portfolio data from servicer
07/14/2010
$
(76,870,000)
$
401,300,000 Updated portfolio data from servicer
09/01/2010
$
400,000
$
401,700,000 Updated portfolio data from servicer/additional program initial cap
09/30/2010
$
(8,454,269)
$
393,245,731 Updated portfolio data from servicer
01/06/2011
$
(342)
$
393,245,389 Updated due to quarterly assessment and reallocation
03/30/2011
$
(374)
$
393,245,015 Updated due to quarterly assessment and reallocation
05/13/2011
$
18,000,000
$
411,245,015 Transfer of cap due to servicing transfer
06/29/2011
$
(3,273)
$
411,241,742 Updated due to quarterly assessment and reallocation
10/14/2011
$
(200,000)
$
411,041,742 Transfer of cap due to servicing transfer
03/15/2012
$
100,000
$
411,141,742 Transfer of cap due to servicing transfer
04/16/2012
$
(500,000)
$
410,641,742 Transfer of cap due to servicing transfer
06/28/2012
$
(1,768)
$
410,639,974 Updated due to quarterly assessment and reallocation
07/16/2012
$
(90,000)
$
410,549,974 Transfer of cap due to servicing transfer
08/16/2012
$
(134,230,000)
$
276,319,974 Transfer of cap due to servicing transfer
08/23/2012
$
(166,976,849)
$
109,343,125 Transfer of cap due to servicing transfer
09/27/2012
$
1
$
109,343,126 Updated due to quarterly assessment and reallocation
11/15/2012
$
(230,000)
$
109,113,126 Transfer of cap due to servicing transfer
03/25/2013
$
(1)
$
109,113,125 Updated due to quarterly assessment and reallocation
05/16/2013
$
(20,000)
$
109,093,125 Transfer of cap due to servicing transfer
06/14/2013
$
(50,000)
$
109,043,125 Transfer of cap due to servicing transfer
06/27/2013
$
(15)
$
109,043,110 Updated due to quarterly assessment and reallocation
07/09/2013
$
(23,179,591)
$
07/14/2010
$
4,440,000
$
09/24/2010
$
(5,500,000)
12/16/2013
$
40,000
$
40,000 Transfer of cap due to servicing transfer
12/29/2014
$
2,719
$
42,719 Updated due to quarterly assessment and reallocation
09/30/2010
$
765,945
$
2,465,945 Updated portfolio data from servicer
01/06/2011
$
(3)
$
2,465,942 Updated due to quarterly assessment and reallocation
03/30/2011
$
(4)
$
2,465,938 Updated due to quarterly assessment and reallocation
06/29/2011
$
(36)
$
2,465,902 Updated due to quarterly assessment and reallocation
06/28/2012
$
(30)
$
2,465,872 Updated due to quarterly assessment and reallocation
09/27/2012
$
(83)
$
2,465,789 Updated due to quarterly assessment and reallocation
12/27/2012
$
(14)
$
2,465,775 Updated due to quarterly assessment and reallocation
03/25/2013
$
(53)
$
2,465,722 Updated due to quarterly assessment and reallocation
06/27/2013
$
(20)
$
2,465,702 Updated due to quarterly assessment and reallocation
100,460 Transfer of cap due to servicing transfer
85,863,519 Termination of SPA
5,500,000 Updated portfolio data from servicer
- Termination of SPA
66
Servicer Modifying Borrowers' Loans
Date
Name of Institution
City
Adjustment Details
State
Transaction
Type
Investment Description
Cap of Incentive Payments on
Behalf of Borrowers and to
Servicers & Lenders/Investors
(Cap) *
Pricing
Mechanism
Note
Adjustment
Date
CAP Adjustment Amount
04/17/2009 Bank of America, N.A.
Bank of America, N.A. (BAC
04/17/2009
Home Loans Servicing, LP)
Bangor
Simi Valley
Simi Valley
ME
CA
CA
Purchase
Purchase
Purchase
Financial Instrument for Home Loan Modifications
Financial Instrument for Home Loan Modifications
Financial Instrument for Home Loan Modifications
- N/A
$
$
$
460,000
$
2,925,702 Transfer of cap due to servicing transfer
09/27/2013
$
(7)
$
2,925,695 Updated due to quarterly assessment and reallocation
12/23/2013
$
(12,339)
$
2,913,356 Updated due to quarterly assessment and reallocation
01/16/2014
$
50,000
$
2,963,356 Transfer of cap due to servicing transfer
03/26/2014
$
(449)
$
2,962,907 Updated due to quarterly assessment and reallocation
04/16/2014
$
10,000
$
2,972,907 Transfer of cap due to servicing transfer
05/15/2014
$
20,000
$
2,992,907 Transfer of cap due to servicing transfer
06/26/2014
$
(5,322)
$
2,987,585 Updated due to quarterly assessment and reallocation
07/29/2014
$
(10,629)
$
2,976,956 Updated due to quarterly assessment and reallocation
09/29/2014
$
(3,515)
$
2,973,441 Updated due to quarterly assessment and reallocation
12/29/2014
$
(354,804)
$
2,618,637 Updated due to quarterly assessment and reallocation
03/26/2015
$
(134,454)
$
2,484,183 Updated due to quarterly assessment and reallocation
04/28/2015
$
(530,072)
$
1,954,111 Updated due to quarterly assessment and reallocation
06/25/2015
$
(126,525)
$
1,827,586 Updated due to quarterly assessment and reallocation
09/28/2015
$
(171,928)
$
1,655,658 Updated due to quarterly assessment and reallocation
12/28/2015
$
(147,262)
$
1,508,396 Updated due to quarterly assessment and reallocation
02/25/2016
$
(449,391)
$
1,059,005 Reallocation due to MHA program deobligation
03/28/2016
$
(9,603)
$
1,049,402 Updated due to quarterly assessment and reallocation
05/31/2016
$
(71,953)
$
977,449 Updated due to quarterly assessment and reallocation
06/27/2016
$
(38,152)
$
939,297 Updated due to quarterly assessment and reallocation
07/27/2016
$
(35,287)
$
904,010 Updated due to quarterly assessment and reallocation
09/28/2016
$
(11,922)
$
892,088 Updated due to quarterly assessment and reallocation
10/25/2016
$
7,664,122
$
8,556,210 Updated due to quarterly assessment and reallocation
-
$
8,556,210 Updated due to quarterly assessment and reallocation
8,547,437 Updated due to quarterly assessment and reallocation
11/29/2016
$
(8,773)
$
12/27/2016
$
(1,492)
$
8,545,945 Transfer of cap due to servicing transfer
02/27/2017
$
6,343,470
$
14,889,415 Transfer of cap due to servicing transfer
04/26/2017
$
1,975,739
$
16,865,154 Transfer of cap due to servicing transfer
06/26/2017
$
682,670
$
17,547,824 Transfer of cap due to servicing transfer
07/26/2017
$
(26)
$
17,547,798 Updated due to quarterly assessment and reallocation
09/26/2017
$
(4,019,753)
$
13,528,045 Transfer of cap due to servicing transfer
10/26/2017
$
4,282,015
$
17,810,060 Transfer of cap due to servicing transfer
12/21/2017
$
(66,770)
$
17,743,290 Transfer of cap due to servicing transfer
09/15/2011
$
100,000
$
10/16/2017
$
(100,000)
06/12/2009
$
5,540,000
$
09/30/2009
$
162,680,000
$
967,120,000 Updated portfolio data from servicer/additional program initial cap
12/30/2009
$
665,510,000
$
1,632,630,000 Updated portfolio data from servicer/additional program initial cap
01/26/2010
$
800,390,000
$
2,433,020,000 Updated portfolio data from servicer/additional program initial cap
03/26/2010
$
(829,370,000)
$
1,603,650,000 Updated portfolio data from servicer
07/14/2010
$
(366,750,000)
$
1,236,900,000 Updated portfolio data from servicer
09/30/2010
$
95,300,000
$
1,332,200,000 Updated portfolio data from servicer/additional program initial cap
09/30/2010
$
222,941,084
$
1,555,141,084 Updated portfolio data from servicer
01/06/2011
$
(2,199)
$
1,555,138,885 Updated due to quarterly assessment and reallocation
03/30/2011
$
(2,548)
$
1,555,136,337 Updated due to quarterly assessment and reallocation
06/29/2011
$
(23,337)
$
1,555,113,000 Updated due to quarterly assessment and reallocation
08/16/2011
$
(300,000)
$
1,554,813,000 Transfer of cap due to servicing transfer
10/14/2011
$
(120,700,000)
$
1,434,113,000 Transfer of cap due to servicing transfer
11/16/2011
$
(900,000)
$
1,433,213,000 Transfer of cap due to servicing transfer
05/16/2012
$
(200,000)
$
1,433,013,000 Transfer of cap due to servicing transfer
06/28/2012
$
(17,893)
$
1,432,995,107 Updated due to quarterly assessment and reallocation
7
08/10/2012
$
(1,401,716,594)
$
7
10/16/2013
$
(260,902)
$
06/12/2009
$
3,318,840,000
$
5,182,840,000 Updated portfolio data from servicer
3
798,900,000 N/A
1,864,000,000 N/A
Reason for Adjustment
09/16/2013
11/07/2016
09/15/2011 Bangor Savings Bank
Adjusted CAP
100,000 Transfer of cap due to servicing transfer
- Termination of SPA
804,440,000 Updated portfolio data from servicer
31,278,513 Termination of SPA
31,017,611 Termination of SPA
09/30/2009
$
(717,420,000)
$
4,465,420,000 Updated portfolio data from servicer/additional program initial cap
12/30/2009
$
2,290,780,000
$
6,756,200,000 Updated portfolio data from servicer/additional program initial cap
01/26/2010
$
450,100,000
$
7,206,300,000 Updated portfolio data from servicer/additional program initial cap
03/26/2010
$
905,010,000
$
8,111,310,000 Updated portfolio data from servicer
04/19/2010
$
10,280,000
$
8,121,590,000 Transfer of cap due to servicing transfer
06/16/2010
$
286,510,000
$
8,408,100,000 Transfer of cap due to servicing transfer
07/14/2010
$
(1,787,300,000)
$
6,620,800,000 Updated portfolio data from servicer
09/30/2010
$
105,500,000
$
6,726,300,000 Updated portfolio data from servicer/additional program initial cap
09/30/2010
$
(614,527,362)
$
6,111,772,638 Updated portfolio data from servicer
12/15/2010
$
236,000,000
$
6,347,772,638 Transfer of cap due to servicing transfer
01/06/2011
$
(8,012)
$
6,347,764,626 Updated due to quarterly assessment and reallocation
02/16/2011
$
1,800,000
$
6,349,564,626 Transfer of cap due to servicing transfer
03/16/2011
$
100,000
$
6,349,664,626 Transfer of cap due to servicing transfer
03/30/2011
$
(9,190)
$
6,349,655,436 Updated due to quarterly assessment and reallocation
04/13/2011
$
200,000
$
6,349,855,436 Transfer of cap due to servicing transfer
67
Servicer Modifying Borrowers' Loans
Date
Name of Institution
City
Adjustment Details
State
Transaction
Type
Investment Description
Cap of Incentive Payments on
Behalf of Borrowers and to
Servicers & Lenders/Investors
(Cap) *
Pricing
Mechanism
Note
Adjustment
Date
CAP Adjustment Amount
Adjusted CAP
Reason for Adjustment
05/13/2011
$
300,000
$
6,350,155,436 Transfer of cap due to servicing transfer
06/16/2011
$
(1,000,000)
$
6,349,155,436 Transfer of cap due to servicing transfer
06/29/2011
$
(82,347)
$
6,349,073,089 Updated due to quarterly assessment and reallocation
07/14/2011
$
(200,000)
$
6,348,873,089 Transfer of cap due to servicing transfer
08/16/2011
$
(3,400,000)
$
6,345,473,089 Transfer of cap due to servicing transfer
09/15/2011
$
(1,400,000)
$
6,344,073,089 Transfer of cap due to servicing transfer
10/14/2011
$
120,600,000
$
6,464,673,089 Transfer of cap due to servicing transfer
10/19/2011
$
317,956,289
$
6,782,629,378 Transfer of cap due to merger/acquisition
11/16/2011
$
800,000
$
6,783,429,378 Transfer of cap due to servicing transfer
12/15/2011
$
(17,600,000)
$
6,765,829,378 Transfer of cap due to servicing transfer
02/16/2012
$
(2,100,000)
$
6,763,729,378 Transfer of cap due to servicing transfer
03/15/2012
$
(23,900,000)
$
6,739,829,378 Transfer of cap due to servicing transfer
04/16/2012
$
(63,800,000)
$
6,676,029,378 Transfer of cap due to servicing transfer
05/16/2012
$
20,000
$
6,676,049,378 Transfer of cap due to servicing transfer
06/14/2012
$
(8,860,000)
$
6,667,189,378 Transfer of cap due to servicing transfer
06/28/2012
$
(58,550)
$
6,667,130,828 Updated due to quarterly assessment and reallocation
07/16/2012
$
(6,840,000)
$
6,660,290,828 Transfer of cap due to servicing transfer
08/10/2012
$
1,401,716,594
$
8,062,007,423 Transfer of cap due to merger/acquisition
08/16/2012
$
(4,780,000)
$
8,057,227,423 Transfer of cap due to servicing transfer
09/27/2012
$
(205,946)
$
8,057,021,476 Updated due to quarterly assessment and reallocation
10/16/2012
$
(153,220,000)
$
7,903,801,476 Transfer of cap due to servicing transfer
11/15/2012
$
(27,300,000)
$
7,876,501,476 Transfer of cap due to servicing transfer
12/14/2012
$
(50,350,000)
$
7,826,151,476 Transfer of cap due to servicing transfer
12/27/2012
$
(33,515)
$
7,826,117,961 Updated due to quarterly assessment and reallocation
01/16/2013
$
(27,000,000)
$
7,799,117,961 Transfer of cap due to servicing transfer
02/14/2013
$
(41,830,000)
$
7,757,287,961 Transfer of cap due to servicing transfer
03/14/2013
$
(5,900,000)
$
7,751,387,961 Transfer of cap due to servicing transfer
03/25/2013
$
(122,604)
$
7,751,265,357 Updated due to quarterly assessment and reallocation
04/16/2013
$
(1,410,000)
$
7,749,855,357 Transfer of cap due to servicing transfer
05/16/2013
$
(940,000)
$
7,748,915,357 Transfer of cap due to servicing transfer
06/14/2013
$
(16,950,000)
$
7,731,965,357 Transfer of cap due to servicing transfer
06/27/2013
$
(45,103)
$
7,731,920,254 Updated due to quarterly assessment and reallocation
07/16/2013
$
(25,580,000)
$
7,706,340,254 Transfer of cap due to servicing transfer
08/15/2013
$
(6,730,000)
$
7,699,610,254 Transfer of cap due to servicing transfer
09/16/2013
$
(290,640,000)
$
7,408,970,254 Transfer of cap due to servicing transfer
09/27/2013
$
(15,411)
$
7,408,954,843 Updated due to quarterly assessment and reallocation
10/15/2013
$
(79,200,000)
$
7,329,754,843 Transfer of cap due to servicing transfer
10/16/2013
$
260,902
$
7,330,015,745 Transfer of cap due to merger/acquisition
11/14/2013
$
(14,600,000)
$
7,315,415,745 Transfer of cap due to servicing transfer
12/16/2013
$
(23,220,000)
$
7,292,195,745 Transfer of cap due to servicing transfer
12/23/2013
$
(25,226,860)
$
7,266,968,885 Updated due to quarterly assessment and reallocation
01/16/2014
$
(27,070,000)
$
7,239,898,885 Transfer of cap due to servicing transfer
02/13/2014
$
(110,110,000)
$
7,129,788,885 Transfer of cap due to servicing transfer
03/14/2014
$
(27,640,000)
$
7,102,148,885 Transfer of cap due to servicing transfer
03/26/2014
$
(868,425)
$
7,101,280,460 Updated due to quarterly assessment and reallocation
04/16/2014
$
(17,710,000)
$
7,083,570,460 Transfer of cap due to servicing transfer
05/15/2014
$
(30,040,000)
$
7,053,530,460 Transfer of cap due to servicing transfer
06/16/2014
$
(9,660,000)
$
7,043,870,460 Transfer of cap due to servicing transfer
06/26/2014
$
(10,084,970)
$
7,033,785,490 Updated due to quarterly assessment and reallocation
07/16/2014
$
(6,180,000)
$
7,027,605,490 Transfer of cap due to servicing transfer
07/29/2014
$
(19,885,198)
$
7,007,720,292 Updated due to quarterly assessment and reallocation
08/14/2014
$
(11,870,000)
$
6,995,850,292 Transfer of cap due to servicing transfer
09/16/2014
$
(21,390,000)
$
6,974,460,292 Transfer of cap due to servicing transfer
09/29/2014
$
(6,533,419)
$
6,967,926,873 Updated due to quarterly assessment and reallocation
10/16/2014
$
(18,450,000)
$
6,949,476,873 Transfer of cap due to servicing transfer
11/14/2014
$
(20,390,000)
$
6,929,086,873 Transfer of cap due to servicing transfer
12/16/2014
$
(9,530,000)
$
6,919,556,873 Transfer of cap due to servicing transfer
12/29/2014
$
(719,816,794)
$
6,199,740,079 Updated due to quarterly assessment and reallocation
01/15/2015
$
(1,240,000)
$
6,198,500,079 Transfer of cap due to servicing transfer
02/13/2015
$
(35,010,000)
$
6,163,490,079 Transfer of cap due to servicing transfer
03/16/2015
$
(4,990,000)
$
6,158,500,079 Transfer of cap due to servicing transfer
03/26/2015
$
(265,121,573)
$
5,893,378,506 Updated due to quarterly assessment and reallocation
04/16/2015
$
1,180,000
$
5,894,558,506 Transfer of cap due to servicing transfer
04/28/2015
$
(990,712,937)
$
4,903,845,569 Updated due to quarterly assessment and reallocation
05/14/2015
$
(6,070,000)
$
4,897,775,569 Transfer of cap due to servicing transfer
06/16/2015
$
(7,390,000)
$
4,890,385,569 Transfer of cap due to servicing transfer
06/25/2015
$
(232,108,104)
$
4,658,277,465 Updated due to quarterly assessment and reallocation
07/16/2015
$
2,950,000
$
4,661,227,465 Transfer of cap due to servicing transfer
08/14/2015
$
(6,830,000)
$
4,654,397,465 Transfer of cap due to servicing transfer
68
Servicer Modifying Borrowers' Loans
Date
Name of Institution
10/23/2009 Bank United
City
Miami Lakes
Adjustment Details
State
FL
Transaction
Type
Purchase
Investment Description
Financial Instrument for Home Loan Modifications
Cap of Incentive Payments on
Behalf of Borrowers and to
Servicers & Lenders/Investors
(Cap) *
$
Pricing
Mechanism
93,660,000 N/A
Note
Adjustment
Date
CAP Adjustment Amount
Adjusted CAP
Reason for Adjustment
09/16/2015
$
(8,550,000)
$
4,645,847,465 Transfer of cap due to servicing transfer
09/28/2015
$
(308,347,786)
$
4,337,499,679 Updated due to quarterly assessment and reallocation
10/15/2015
$
(14,980,000)
$
4,322,519,679 Transfer of cap due to servicing transfer
11/16/2015
$
1,680,000
$
4,324,199,679 Transfer of cap due to servicing transfer
12/16/2015
$
(37,410,000)
$
4,286,789,679 Transfer of cap due to servicing transfer
12/28/2015
$
(220,497,529)
$
4,066,292,150 Updated due to quarterly assessment and reallocation
01/14/2016
$
7,480,000
$
4,073,772,150 Transfer of cap due to servicing transfer
02/16/2016
$
4,960,000
$
4,078,732,150 Transfer of cap due to servicing transfer
02/25/2016
$
(716,991,131)
$
3,361,741,019 Reallocation due to MHA program deobligation
03/16/2016
$
(6,710,000)
$
3,355,031,019 Transfer of cap due to servicing transfer
03/28/2016
$
(14,773,723)
$
3,340,257,296 Updated due to quarterly assessment and reallocation
04/14/2016
$
4,630,000
$
3,344,887,296 Transfer of cap due to servicing transfer
05/16/2016
$
2,090,000
$
3,346,977,296 Transfer of cap due to servicing transfer
05/31/2016
$
(111,487,799)
$
3,235,489,497 Updated due to quarterly assessment and reallocation
06/16/2016
$
4,520,000
$
3,240,009,497 Transfer of cap due to servicing transfer
06/27/2016
$
(66,537,213)
$
3,173,472,284 Updated due to quarterly assessment and reallocation
07/14/2016
$
9,120,000
$
3,182,592,284 Transfer of cap due to servicing transfer
07/27/2016
$
(65,684,131)
$
3,116,908,153 Updated due to quarterly assessment and reallocation
08/16/2016
$
(7,630,000)
$
3,109,278,153 Transfer of cap due to servicing transfer
09/15/2016
$
(10,380,000)
$
3,098,898,153 Transfer of cap due to servicing transfer
09/28/2016
$
(109,085,874)
$
2,989,812,279 Updated due to quarterly assessment and reallocation
10/14/2016
$
(60,930,000)
$
2,928,882,279 Transfer of cap due to servicing transfer
10/25/2016
$
(63,167,528)
$
2,865,714,751 Updated due to quarterly assessment and reallocation
11/07/2016
$
24,353,309
$
2,890,068,060 Updated due to quarterly assessment and reallocation
11/16/2016
$
(7,550,000)
$
2,882,518,060 Transfer of cap due to servicing transfer
11/29/2016
$
(1,598,505)
$
2,880,919,555 Updated due to quarterly assessment and reallocation
12/15/2016
$
30,610,000
$
2,911,529,555 Transfer of cap due to servicing transfer
12/27/2016
$
(249,604)
$
2,911,279,951 Transfer of cap due to servicing transfer
01/13/2017
$
140,000
$
2,911,419,951 Transfer of cap due to servicing transfer
02/16/2017
$
(14,140,000)
$
2,897,279,951 Transfer of cap due to servicing transfer
02/27/2017
$
(4,038,972)
$
2,893,240,979 Transfer of cap due to servicing transfer
03/16/2017
$
(18,950,000)
$
2,874,290,979 Transfer of cap due to servicing transfer
04/26/2017
$
(250,253)
$
2,874,040,726 Transfer of cap due to servicing transfer
06/26/2017
$
(2,271,650)
$
2,871,769,076 Transfer of cap due to servicing transfer
07/26/2017
$
(69,976)
$
2,871,699,100 Updated due to quarterly assessment and reallocation
09/26/2017
$
(30,890,482)
$
2,840,808,618 Transfer of cap due to servicing transfer
10/26/2017
$
(6,351,581)
$
2,834,457,037 Transfer of cap due to servicing transfer
12/21/2017
$
(7,325,316)
$
2,827,131,721 Transfer of cap due to servicing transfer
01/22/2010
$
4,370,000
$
03/26/2010
$
23,880,000
$
121,910,000 Updated portfolio data from servicer
07/14/2010
$
(16,610,000)
$
105,300,000 Updated portfolio data from servicer
09/30/2010
$
1,751,033
$
107,051,033 Updated portfolio data from servicer
01/06/2011
$
(77)
$
107,050,956 Updated due to quarterly assessment and reallocation
03/16/2011
$
(9,900,000)
$
97,150,956 Transfer of cap due to servicing transfer
03/30/2011
$
(88)
$
97,150,868 Updated due to quarterly assessment and reallocation
06/29/2011
$
(773)
$
97,150,095 Updated due to quarterly assessment and reallocation
03/15/2012
$
(1,400,000)
$
95,750,095 Transfer of cap due to servicing transfer
06/28/2012
$
(277)
$
95,749,818 Updated due to quarterly assessment and reallocation
09/27/2012
$
(549)
$
95,749,269 Updated due to quarterly assessment and reallocation
12/27/2012
$
(65)
$
95,749,204 Updated due to quarterly assessment and reallocation
02/14/2013
$
(2,670,000)
$
93,079,204 Transfer of cap due to servicing transfer
03/25/2013
$
(142)
$
93,079,062 Updated due to quarterly assessment and reallocation
05/16/2013
$
(610,000)
$
92,469,062 Transfer of cap due to servicing transfer
06/27/2013
$
(48)
$
92,469,014 Updated due to quarterly assessment and reallocation
09/16/2013
$
(40,000)
$
92,429,014 Transfer of cap due to servicing transfer
09/27/2013
$
(14)
$
92,429,000 Updated due to quarterly assessment and reallocation
11/14/2013
$
(30,000)
$
92,399,000 Transfer of cap due to servicing transfer
12/16/2013
$
(1,190,000)
$
91,209,000 Transfer of cap due to servicing transfer
12/23/2013
$
(14,953)
$
91,194,047 Updated due to quarterly assessment and reallocation
02/13/2014
$
(170,000)
$
91,024,047 Transfer of cap due to servicing transfer
03/26/2014
$
(721)
$
91,023,326 Updated due to quarterly assessment and reallocation
06/16/2014
$
(660,000)
$
90,363,326 Transfer of cap due to servicing transfer
06/26/2014
$
(6,982)
$
90,356,344 Updated due to quarterly assessment and reallocation
07/29/2014
$
(13,755)
$
90,342,589 Updated due to quarterly assessment and reallocation
09/16/2014
$
(440,000)
$
89,902,589 Transfer of cap due to servicing transfer
09/29/2014
$
(3,805)
$
89,898,784 Updated due to quarterly assessment and reallocation
12/16/2014
$
(250,000)
$
12/29/2014
$
11,779,329
$
101,428,113 Updated due to quarterly assessment and reallocation
01/15/2015
$
(100,000)
$
101,328,113 Transfer of cap due to servicing transfer
98,030,000 Updated portfolio data from servicer/additional program initial cap
89,648,784 Transfer of cap due to servicing transfer
69
Servicer Modifying Borrowers' Loans
Date
Name of Institution
06/16/2016 Banner Bank
09/16/2009 Bay Federal Credit Union
12/09/2009 Bay Gulf Credit Union
07/01/2009 Bayview Loan Servicing, LLC
City
Adjustment Details
State
Transaction
Type
Investment Description
Walla Walla
WA
Purchase
Financial Instrument for Home Loan Modifications
Capitola
CA
Purchase
Financial Instrument for Home Loan Modifications
Tampa
Coral Gables
FL
FL
Purchase
Purchase
Financial Instrument for Home Loan Modifications
Financial Instrument for Home Loan Modifications
Cap of Incentive Payments on
Behalf of Borrowers and to
Servicers & Lenders/Investors
(Cap) *
Pricing
Mechanism
- N/A
$
$
$
410,000 N/A
230,000 N/A
44,260,000 N/A
Note
3
Adjustment
Date
CAP Adjustment Amount
Adjusted CAP
Reason for Adjustment
03/16/2015
$
(600,000)
$
100,728,113 Transfer of cap due to servicing transfer
03/26/2015
$
(7,703)
$
100,720,410 Updated due to quarterly assessment and reallocation
04/16/2015
$
(330,000)
$
100,390,410 Transfer of cap due to servicing transfer
04/28/2015
$
189,139
$
100,579,549 Updated due to quarterly assessment and reallocation
05/14/2015
$
(10,000)
$
100,569,549 Transfer of cap due to servicing transfer
06/25/2015
$
311,061
$
100,880,610 Updated due to quarterly assessment and reallocation
09/28/2015
$
2,219,656
$
103,100,266 Updated due to quarterly assessment and reallocation
11/16/2015
$
(30,000)
$
103,070,266 Transfer of cap due to servicing transfer
12/28/2015
$
2,627,838
$
105,698,104 Updated due to quarterly assessment and reallocation
02/25/2016
$
(3,503,217)
$
102,194,887 Reallocation due to MHA program deobligation
03/28/2016
$
(74,514)
$
102,120,373 Updated due to quarterly assessment and reallocation
05/31/2016
$
(562,214)
$
101,558,159 Updated due to quarterly assessment and reallocation
06/16/2016
$
(750,000)
$
100,808,159 Transfer of cap due to servicing transfer
06/27/2016
$
(328,286)
$
100,479,873 Updated due to quarterly assessment and reallocation
07/27/2016
$
(953,954)
$
99,525,919 Updated due to quarterly assessment and reallocation
09/15/2016
$
(990,000)
$
98,535,919 Transfer of cap due to servicing transfer
09/28/2016
$
(1,879,595)
$
96,656,324 Updated due to quarterly assessment and reallocation
10/14/2016
$
(30,000)
$
96,626,324 Transfer of cap due to servicing transfer
10/25/2016
$
(1,300,585)
$
95,325,739 Updated due to quarterly assessment and reallocation
11/07/2016
$
501,421
$
95,827,160 Updated due to quarterly assessment and reallocation
11/29/2016
$
(50,898)
$
95,776,262 Updated due to quarterly assessment and reallocation
12/27/2016
$
(9,667)
$
95,766,595 Transfer of cap due to servicing transfer
01/13/2017
$
(70,000)
$
95,696,595 Transfer of cap due to servicing transfer
02/27/2017
$
(181,765)
$
95,514,830 Transfer of cap due to servicing transfer
03/16/2017
$
(320,000)
$
95,194,830 Transfer of cap due to servicing transfer
04/26/2017
$
(13,207)
$
95,181,623 Transfer of cap due to servicing transfer
06/26/2017
$
(113,601)
$
95,068,022 Transfer of cap due to servicing transfer
07/26/2017
$
(3,453)
$
95,064,569 Updated due to quarterly assessment and reallocation
09/26/2017
$
(3,155,358)
$
91,909,211 Transfer of cap due to servicing transfer
10/26/2017
$
(391,904)
$
91,517,307 Transfer of cap due to servicing transfer
12/21/2017
$
(414,613)
$
91,102,694 Transfer of cap due to servicing transfer
06/16/2016
$
20,000
$
10/02/2009
$
90,000
$
500,000 Updated portfolio data from servicer/additional program initial cap
12/30/2009
$
1,460,000
$
1,960,000 Updated portfolio data from servicer/additional program initial cap
03/26/2010
$
160,000
$
2,120,000 Updated portfolio data from servicer
07/14/2010
$
(120,000)
$
2,000,000 Updated portfolio data from servicer
09/30/2010
$
(1,419,778)
$
580,222 Updated portfolio data from servicer
01/06/2011
$
(1)
$
580,221 Updated due to quarterly assessment and reallocation
03/30/2011
$
(1)
$
580,220 Updated due to quarterly assessment and reallocation
06/29/2011
$
(8)
$
580,212 Updated due to quarterly assessment and reallocation
01/25/2012
$
(580,212)
01/22/2010
$
10,000
$
240,000 Updated portfolio data from servicer/additional program initial cap
03/26/2010
$
440,000
$
680,000 Updated portfolio data from servicer
07/14/2010
$
(80,000)
$
600,000 Updated portfolio data from servicer
09/30/2010
$
(19,778)
$
10/15/2010
$
(580,222)
09/30/2009
$
23,850,000
$
68,110,000 Updated portfolio data from servicer/additional program initial cap
12/30/2009
$
43,590,000
$
111,700,000 Updated portfolio data from servicer/additional program initial cap
03/26/2010
$
34,540,000
$
146,240,000 Updated portfolio data from servicer
05/07/2010
$
1,010,000
$
147,250,000 Updated portfolio data from servicer/additional program initial cap
07/14/2010
$
(34,250,000)
$
113,000,000 Updated portfolio data from servicer
09/30/2010
$
600,000
$
113,600,000 Updated portfolio data from servicer/additional program initial cap
09/30/2010
$
(15,252,303)
$
98,347,697 Updated portfolio data from servicer
01/06/2011
$
(70)
$
98,347,627 Updated due to quarterly assessment and reallocation
03/30/2011
$
(86)
$
98,347,541 Updated due to quarterly assessment and reallocation
04/13/2011
$
400,000
$
98,747,541 Transfer of cap due to servicing transfer
05/13/2011
$
100,000
$
98,847,541 Transfer of cap due to servicing transfer
06/29/2011
$
(771)
$
98,846,770 Updated due to quarterly assessment and reallocation
09/15/2011
$
600,000
$
99,446,770 Transfer of cap due to servicing transfer
10/14/2011
$
(18,900,000)
$
80,546,770 Transfer of cap due to servicing transfer
01/13/2012
$
900,000
$
81,446,770 Transfer of cap due to servicing transfer
02/16/2012
$
2,400,000
$
83,846,770 Transfer of cap due to servicing transfer
03/15/2012
$
(100,000)
$
83,746,770 Transfer of cap due to servicing transfer
04/16/2012
$
200,000
$
83,946,770 Transfer of cap due to servicing transfer
05/16/2012
$
30,000
$
83,976,770 Transfer of cap due to servicing transfer
06/14/2012
$
1,810,000
$
85,786,770 Transfer of cap due to servicing transfer
06/28/2012
$
(508)
$
85,786,262 Updated due to quarterly assessment and reallocation
07/16/2012
$
2,660,000
$
88,446,262 Transfer of cap due to servicing transfer
09/27/2012
$
(1,249)
$
88,445,013 Updated due to quarterly assessment and reallocation
20,000 Transfer of cap due to servicing transfer
- Termination of SPA
580,222 Updated portfolio data from servicer
- Termination of SPA
70
Servicer Modifying Borrowers' Loans
Date
Name of Institution
City
Adjustment Details
State
Transaction
Type
Investment Description
Cap of Incentive Payments on
Behalf of Borrowers and to
Servicers & Lenders/Investors
(Cap) *
Pricing
Mechanism
Note
Adjustment
Date
CAP Adjustment Amount
Adjusted CAP
Reason for Adjustment
10/16/2012
$
160,000
$
11/15/2012
$
6,970,000
$
95,575,013 Transfer of cap due to servicing transfer
12/14/2012
$
13,590,000
$
109,165,013 Transfer of cap due to servicing transfer
12/27/2012
$
88,605,013 Transfer of cap due to servicing transfer
(298)
$
109,164,715 Updated due to quarterly assessment and reallocation
01/16/2013
$
90,000
$
109,254,715 Transfer of cap due to servicing transfer
02/14/2013
$
3,250,000
$
112,504,715 Transfer of cap due to servicing transfer
03/14/2013
$
830,000
$
113,334,715 Transfer of cap due to servicing transfer
03/25/2013
$
(1,023)
$
113,333,692 Updated due to quarterly assessment and reallocation
04/16/2013
$
1,490,000
$
114,823,692 Transfer of cap due to servicing transfer
05/16/2013
$
660,000
$
115,483,692 Transfer of cap due to servicing transfer
06/14/2013
$
7,470,000
$
122,953,692 Transfer of cap due to servicing transfer
06/27/2013
$
(308)
$
122,953,384 Updated due to quarterly assessment and reallocation
07/16/2013
$
21,430,000
$
144,383,384 Transfer of cap due to servicing transfer
09/16/2013
$
11,730,000
$
156,113,384 Transfer of cap due to servicing transfer
09/27/2013
$
(91)
$
156,113,293 Updated due to quarterly assessment and reallocation
10/15/2013
$
5,430,000
$
161,543,293 Transfer of cap due to servicing transfer
11/14/2013
$
20,900,000
$
182,443,293 Transfer of cap due to servicing transfer
12/16/2013
$
260,000
$
182,703,293 Transfer of cap due to servicing transfer
12/23/2013
$
(131,553)
$
182,571,740 Updated due to quarterly assessment and reallocation
01/16/2014
$
1,070,000
$
183,641,740 Transfer of cap due to servicing transfer
02/13/2014
$
2,570,000
$
186,211,740 Transfer of cap due to servicing transfer
03/14/2014
$
1,530,000
$
187,741,740 Transfer of cap due to servicing transfer
03/26/2014
$
(1,050)
$
187,740,690 Updated due to quarterly assessment and reallocation
04/16/2014
$
5,270,000
$
193,010,690 Transfer of cap due to servicing transfer
05/15/2014
$
500,000
$
193,510,690 Transfer of cap due to servicing transfer
06/16/2014
$
2,600,000
$
196,110,690 Transfer of cap due to servicing transfer
06/26/2014
$
18,557,651
$
214,668,341 Updated due to quarterly assessment and reallocation
07/16/2014
$
10,000
$
214,678,341 Transfer of cap due to servicing transfer
07/29/2014
$
13,360,843
$
228,039,184 Updated due to quarterly assessment and reallocation
08/14/2014
$
4,260,000
$
232,299,184 Transfer of cap due to servicing transfer
09/16/2014
$
260,000
$
232,559,184 Transfer of cap due to servicing transfer
09/29/2014
$
13,718,841
$
246,278,025 Updated due to quarterly assessment and reallocation
10/16/2014
$
(680,000)
$
245,598,025 Transfer of cap due to servicing transfer
11/14/2014
$
6,070,000
$
251,668,025 Transfer of cap due to servicing transfer
12/16/2014
$
10,000
$
251,678,025 Transfer of cap due to servicing transfer
12/29/2014
$
81,111,129
$
332,789,154 Updated due to quarterly assessment and reallocation
01/15/2015
$
330,000
$
333,119,154 Transfer of cap due to servicing transfer
02/13/2015
$
120,000
$
333,239,154 Transfer of cap due to servicing transfer
03/16/2015
$
39,430,000
$
372,669,154 Transfer of cap due to servicing transfer
03/26/2015
$
36,955,812
$
409,624,966 Updated due to quarterly assessment and reallocation
04/16/2015
$
6,870,000
$
416,494,966 Transfer of cap due to servicing transfer
04/28/2015
$
(752,669)
$
415,742,297 Updated due to quarterly assessment and reallocation
05/14/2015
$
5,890,000
$
421,632,297 Transfer of cap due to servicing transfer
06/16/2015
$
16,940,000
$
438,572,297 Transfer of cap due to servicing transfer
06/25/2015
$
(180,754)
$
438,391,543 Updated due to quarterly assessment and reallocation
07/16/2015
$
9,500,000
$
447,891,543 Transfer of cap due to servicing transfer
08/14/2015
$
430,000
$
448,321,543 Transfer of cap due to servicing transfer
09/16/2015
$
(3,540,000)
$
444,781,543 Transfer of cap due to servicing transfer
09/28/2015
$
12,163,584
$
456,945,127 Updated due to quarterly assessment and reallocation
10/15/2015
$
16,640,000
$
473,585,127 Transfer of cap due to servicing transfer
11/16/2015
$
(3,150,000)
$
470,435,127 Transfer of cap due to servicing transfer
12/16/2015
$
11,150,000
$
481,585,127 Transfer of cap due to servicing transfer
12/28/2015
$
(435,564)
$
481,149,563 Updated due to quarterly assessment and reallocation
01/14/2016
$
(180,000)
$
480,969,563 Transfer of cap due to servicing transfer
02/16/2016
$
(17,340,000)
$
463,629,563 Transfer of cap due to servicing transfer
02/25/2016
$
(950,288)
$
462,679,275 Reallocation due to MHA program deobligation
03/16/2016
$
(530,000)
$
462,149,275 Transfer of cap due to servicing transfer
03/28/2016
$
38,851,352
$
501,000,627 Updated due to quarterly assessment and reallocation
04/14/2016
$
530,000
$
501,530,627 Transfer of cap due to servicing transfer
05/16/2016
$
7,000,000
$
508,530,627 Transfer of cap due to servicing transfer
05/31/2016
$
13,216,422
$
521,747,049 Updated due to quarterly assessment and reallocation
06/16/2016
$
120,000
$
521,867,049 Transfer of cap due to servicing transfer
06/27/2016
$
10,406,631
$
532,273,680 Updated due to quarterly assessment and reallocation
07/14/2016
$
(1,070,000)
$
531,203,680 Transfer of cap due to servicing transfer
07/27/2016
$
(1,918,274)
$
529,285,406 Updated due to quarterly assessment and reallocation
08/16/2016
$
(490,000)
$
528,795,406 Transfer of cap due to servicing transfer
09/15/2016
$
(220,000)
$
528,575,406 Transfer of cap due to servicing transfer
09/28/2016
$
(3,129,286)
$
525,446,120 Updated due to quarterly assessment and reallocation
10/14/2016
$
9,750,000
$
535,196,120 Transfer of cap due to servicing transfer
71
Servicer Modifying Borrowers' Loans
Date
Name of Institution
05/15/2014 BMO Harris Bank, NA
08/20/2010 Bramble Savings Bank
Bridgelock Capital dba Peak
07/16/2013
Loan Servicing
Caliber Home Loans, Inc
09/15/2010
(Vericrest Financial, Inc.)
City
Chicago
Cincinanati
Woodland Hills
Oklahoma City
Adjustment Details
State
IL
OH
CA
OK
Transaction
Type
Purchase
Purchase
Purchase
Purchase
Investment Description
Cap of Incentive Payments on
Behalf of Borrowers and to
Servicers & Lenders/Investors
(Cap) *
Financial Instrument for Home Loan Modifications
Financial Instrument for Home Loan Modifications
Financial Instrument for Home Loan Modifications
Financial Instrument for Home Loan Modifications
Pricing
Mechanism
- N/A
$
Note
3
700,000 N/A
- N/A
- N/A
3
3
Adjustment
Date
CAP Adjustment Amount
Adjusted CAP
Reason for Adjustment
10/25/2016
$
(6,009,177)
$
529,186,943 Updated due to quarterly assessment and reallocation
11/07/2016
$
2,316,749
$
531,503,692 Updated due to quarterly assessment and reallocation
11/16/2016
$
(2,460,000)
$
529,043,692 Transfer of cap due to servicing transfer
11/29/2016
$
(335,585)
$
528,708,107 Updated due to quarterly assessment and reallocation
12/15/2016
$
(16,370,000)
$
512,338,107 Transfer of cap due to servicing transfer
12/27/2016
$
(29,269)
$
512,308,838 Transfer of cap due to servicing transfer
01/13/2017
$
(2,180,000)
$
510,128,838 Transfer of cap due to servicing transfer
02/16/2017
$
21,870,000
$
531,998,838 Transfer of cap due to servicing transfer
02/27/2017
$
(399,811)
$
531,599,027 Transfer of cap due to servicing transfer
03/16/2017
$
(570,000)
$
531,029,027 Transfer of cap due to servicing transfer
04/26/2017
$
(19,027)
$
531,010,000 Transfer of cap due to servicing transfer
06/26/2017
$
(110,262)
$
530,899,738 Transfer of cap due to servicing transfer
07/26/2017
$
(7,083)
$
530,892,655 Updated due to quarterly assessment and reallocation
09/26/2017
$
(904,587)
$
529,988,068 Transfer of cap due to servicing transfer
10/26/2017
$
(240,342)
$
529,747,726 Transfer of cap due to servicing transfer
12/21/2017
$
(1,180,182)
$
528,567,544 Transfer of cap due to servicing transfer
05/15/2014
$
30,000
$
30,000 Transfer of cap due to servicing transfer
11/14/2014
$
40,000
$
70,000 Transfer of cap due to servicing transfer
04/16/2015
$
20,000
$
09/30/2010
$
1,040,667
$
1,740,667 Updated portfolio data from servicer
90,000 Transfer of cap due to servicing transfer
01/06/2011
$
(2)
$
1,740,665 Updated due to quarterly assessment and reallocation
03/30/2011
$
(3)
$
1,740,662 Updated due to quarterly assessment and reallocation
06/29/2011
$
(28)
$
1,740,634 Updated due to quarterly assessment and reallocation
08/10/2011
$
(1,740,634)
07/16/2013
$
10,000
$
10,000 Transfer of cap due to servicing transfer
12/16/2013
$
30,000
$
40,000 Transfer of cap due to servicing transfer
04/16/2014
$
30,000
$
70,000 Transfer of cap due to servicing transfer
06/16/2014
$
40,000
$
110,000 Transfer of cap due to servicing transfer
06/26/2014
$
(21)
$
109,979 Updated due to quarterly assessment and reallocation
- Termination of SPA
07/29/2014
$
(43)
$
109,936 Updated due to quarterly assessment and reallocation
09/29/2014
$
(14)
$
109,922 Updated due to quarterly assessment and reallocation
10/16/2014
$
40,000
$
149,922 Transfer of cap due to servicing transfer
12/16/2014
$
(30,000)
$
119,922 Transfer of cap due to servicing transfer
12/29/2014
$
(3,430)
$
116,492 Updated due to quarterly assessment and reallocation
03/26/2015
$
(1,290)
$
115,202 Updated due to quarterly assessment and reallocation
04/28/2015
$
(5,084)
$
110,118 Updated due to quarterly assessment and reallocation
06/25/2015
$
(1,206)
$
108,912 Updated due to quarterly assessment and reallocation
08/14/2015
$
10,000
$
118,912 Transfer of cap due to servicing transfer
09/16/2015
$
10,000
$
128,912 Transfer of cap due to servicing transfer
09/28/2015
$
(5,225)
$
123,687 Updated due to quarterly assessment and reallocation
10/15/2015
$
10,000
$
133,687 Transfer of cap due to servicing transfer
11/16/2015
$
(20,000)
$
113,687 Transfer of cap due to servicing transfer
12/28/2015
$
(2,234)
$
111,453 Updated due to quarterly assessment and reallocation
02/25/2016
$
(6,381)
$
105,072 Reallocation due to MHA program deobligation
03/28/2016
$
(133)
$
104,939 Updated due to quarterly assessment and reallocation
05/31/2016
$
(1,043)
$
103,896 Updated due to quarterly assessment and reallocation
06/16/2016
$
160,000
$
263,896 Transfer of cap due to servicing transfer
06/27/2016
$
(26,223)
$
237,673 Updated due to quarterly assessment and reallocation
07/27/2016
$
(26,231)
$
211,442 Updated due to quarterly assessment and reallocation
08/16/2016
$
10,000
$
221,442 Transfer of cap due to servicing transfer
09/15/2016
$
10,000
$
231,442 Transfer of cap due to servicing transfer
09/28/2016
$
(54,107)
$
177,335 Updated due to quarterly assessment and reallocation
10/25/2016
$
(51,127)
$
126,208 Updated due to quarterly assessment and reallocation
11/07/2016
$
19,711
$
145,919 Updated due to quarterly assessment and reallocation
11/29/2016
$
(354)
$
145,565 Updated due to quarterly assessment and reallocation
12/27/2016
$
(54)
$
145,511 Transfer of cap due to servicing transfer
02/27/2017
$
(937)
$
144,574 Transfer of cap due to servicing transfer
04/26/2017
$
(61)
$
144,513 Transfer of cap due to servicing transfer
06/26/2017
$
(472)
$
144,041 Transfer of cap due to servicing transfer
07/26/2017
$
(14)
$
144,027 Updated due to quarterly assessment and reallocation
09/26/2017
$
(18,838)
$
125,189 Transfer of cap due to servicing transfer
10/26/2017
$
(2,336)
$
122,853 Transfer of cap due to servicing transfer
12/21/2017
$
(2,434)
$
120,419 Transfer of cap due to servicing transfer
09/15/2010
$
1,000,000
$
1,000,000 Transfer of cap due to servicing transfer
09/30/2010
$
450,556
$
1,450,556 Updated portfolio data from servicer
01/06/2011
$
(2)
$
1,450,554 Updated due to quarterly assessment and reallocation
02/16/2011
$
3,000,000
$
4,450,554 Transfer of cap due to servicing transfer
03/16/2011
$
10,200,000
$
14,650,554 Transfer of cap due to servicing transfer
72
Servicer Modifying Borrowers' Loans
Date
Name of Institution
City
Adjustment Details
State
Transaction
Type
Investment Description
Cap of Incentive Payments on
Behalf of Borrowers and to
Servicers & Lenders/Investors
(Cap) *
Pricing
Mechanism
Note
Adjustment
Date
CAP Adjustment Amount
Adjusted CAP
Reason for Adjustment
03/30/2011
$
(24)
$
14,650,530 Updated due to quarterly assessment and reallocation
06/29/2011
$
(227)
$
14,650,303 Updated due to quarterly assessment and reallocation
07/14/2011
$
12,000,000
$
26,650,303 Transfer of cap due to servicing transfer
12/15/2011
$
4,100,000
$
30,750,303 Transfer of cap due to servicing transfer
01/13/2012
$
900,000
$
31,650,303 Transfer of cap due to servicing transfer
04/16/2012
$
300,000
$
31,950,303 Transfer of cap due to servicing transfer
06/28/2012
$
(266)
$
31,950,037 Updated due to quarterly assessment and reallocation
09/27/2012
$
(689)
$
31,949,348 Updated due to quarterly assessment and reallocation
11/15/2012
$
720,000
$
32,669,348 Transfer of cap due to servicing transfer
12/27/2012
$
(114)
$
32,669,234 Updated due to quarterly assessment and reallocation
01/16/2013
$
8,020,000
$
40,689,234 Transfer of cap due to servicing transfer
03/25/2013
$
(591)
$
40,688,643 Updated due to quarterly assessment and reallocation
05/16/2013
$
(40,000)
$
40,648,643 Transfer of cap due to servicing transfer
06/27/2013
$
(223)
$
40,648,420 Updated due to quarterly assessment and reallocation
09/27/2013
$
(80)
$
40,648,340 Updated due to quarterly assessment and reallocation
12/23/2013
$
(135,776)
$
40,512,564 Updated due to quarterly assessment and reallocation
01/16/2014
$
(1,130,000)
$
39,382,564 Transfer of cap due to servicing transfer
02/13/2014
$
(2,500,000)
$
36,882,564 Transfer of cap due to servicing transfer
03/14/2014
$
90,000
$
36,972,564 Transfer of cap due to servicing transfer
03/26/2014
$
(4,697)
$
36,967,867 Updated due to quarterly assessment and reallocation
06/26/2014
$
(55,442)
$
36,912,425 Updated due to quarterly assessment and reallocation
07/16/2014
$
2,590,000
$
39,502,425 Transfer of cap due to servicing transfer
07/29/2014
$
(120,725)
$
39,381,700 Updated due to quarterly assessment and reallocation
09/29/2014
$
(40,882)
$
39,340,818 Updated due to quarterly assessment and reallocation
10/16/2014
$
7,680,000
$
47,020,818 Transfer of cap due to servicing transfer
11/14/2014
$
7,720,000
$
54,740,818 Transfer of cap due to servicing transfer
12/16/2014
$
4,210,000
$
58,950,818 Transfer of cap due to servicing transfer
12/29/2014
$
(8,067,210)
$
50,883,608 Updated due to quarterly assessment and reallocation
01/15/2015
$
2,100,000
$
52,983,608 Transfer of cap due to servicing transfer
02/13/2015
$
80,000
$
53,063,608 Transfer of cap due to servicing transfer
03/16/2015
$
8,990,000
$
62,053,608 Transfer of cap due to servicing transfer
03/26/2015
$
(3,781,724)
$
58,271,884 Updated due to quarterly assessment and reallocation
04/16/2015
$
(20,000)
$
58,251,884 Transfer of cap due to servicing transfer
04/28/2015
$
(14,815,120)
$
43,436,764 Updated due to quarterly assessment and reallocation
05/14/2015
$
2,670,000
$
46,106,764 Transfer of cap due to servicing transfer
06/16/2015
$
(30,000)
$
46,076,764 Transfer of cap due to servicing transfer
06/25/2015
$
(3,633,382)
$
42,443,382 Updated due to quarterly assessment and reallocation
07/16/2015
$
1,440,000
$
43,883,382 Transfer of cap due to servicing transfer
08/14/2015
$
(10,000)
$
43,873,382 Transfer of cap due to servicing transfer
09/16/2015
$
7,260,000
$
51,133,382 Transfer of cap due to servicing transfer
09/28/2015
$
(5,284,205)
$
45,849,177 Updated due to quarterly assessment and reallocation
10/15/2015
$
12,370,000
$
58,219,177 Transfer of cap due to servicing transfer
11/16/2015
$
4,160,000
$
62,379,177 Transfer of cap due to servicing transfer
12/16/2015
$
10,500,000
$
72,879,177 Transfer of cap due to servicing transfer
12/28/2015
$
(7,908,989)
$
64,970,188 Updated due to quarterly assessment and reallocation
01/14/2016
$
(1,130,000)
$
63,840,188 Transfer of cap due to servicing transfer
02/16/2016
$
(50,000)
$
63,790,188 Transfer of cap due to servicing transfer
02/25/2016
$
(22,722,990)
$
41,067,198 Reallocation due to MHA program deobligation
03/16/2016
$
3,010,000
$
44,077,198 Transfer of cap due to servicing transfer
03/28/2016
$
(507,342)
$
43,569,856 Updated due to quarterly assessment and reallocation
04/14/2016
$
(280,000)
$
43,289,856 Transfer of cap due to servicing transfer
05/16/2016
$
6,440,000
$
49,729,856 Transfer of cap due to servicing transfer
05/31/2016
$
(5,160,746)
$
44,569,110 Updated due to quarterly assessment and reallocation
06/16/2016
$
1,600,000
$
46,169,110 Transfer of cap due to servicing transfer
06/27/2016
$
(3,196,570)
$
42,972,540 Updated due to quarterly assessment and reallocation
07/14/2016
$
14,220,000
$
57,192,540 Transfer of cap due to servicing transfer
07/27/2016
$
(5,405,392)
$
51,787,148 Updated due to quarterly assessment and reallocation
08/16/2016
$
(30,000)
$
51,757,148 Transfer of cap due to servicing transfer
09/15/2016
$
16,920,000
$
68,677,148 Transfer of cap due to servicing transfer
09/28/2016
$
(15,897,555)
$
52,779,593 Updated due to quarterly assessment and reallocation
10/14/2016
$
18,240,000
$
71,019,593 Transfer of cap due to servicing transfer
10/25/2016
$
(24,729,854)
$
46,289,739 Updated due to quarterly assessment and reallocation
11/07/2016
$
9,534,228
$
55,823,967 Updated due to quarterly assessment and reallocation
11/16/2016
$
(1,090,000)
$
54,733,967 Transfer of cap due to servicing transfer
11/29/2016
$
(160,291)
$
54,573,676 Updated due to quarterly assessment and reallocation
12/15/2016
$
10,000
$
54,583,676 Transfer of cap due to servicing transfer
12/27/2016
$
(24,778)
$
54,558,898 Transfer of cap due to servicing transfer
01/13/2017
$
20,000
$
54,578,898 Transfer of cap due to servicing transfer
02/16/2017
$
(360,000)
$
54,218,898 Transfer of cap due to servicing transfer
73
Servicer Modifying Borrowers' Loans
Date
Name of Institution
California Housing Finance
03/14/2014
Agency
Capital International Financial,
09/30/2010
Inc
City
Sacramento
Coral Gables
Adjustment Details
State
CA
FL
Transaction
Type
Purchase
Purchase
Investment Description
Cap of Incentive Payments on
Behalf of Borrowers and to
Servicers & Lenders/Investors
(Cap) *
Financial Instrument for Home Loan Modifications
Financial Instrument for Home Loan Modifications
Pricing
Mechanism
- N/A
$
100,000 N/A
Note
3
Adjustment
Date
CAP Adjustment Amount
Adjusted CAP
Reason for Adjustment
02/27/2017
$
(422,361)
$
53,796,537 Transfer of cap due to servicing transfer
03/16/2017
$
2,260,000
$
56,056,537 Transfer of cap due to servicing transfer
04/26/2017
$
(27,508)
$
56,029,029 Transfer of cap due to servicing transfer
06/26/2017
$
(225,463)
$
55,803,566 Transfer of cap due to servicing transfer
07/26/2017
$
(7,124)
$
55,796,442 Updated due to quarterly assessment and reallocation
09/26/2017
$
(8,868,171)
$
46,928,271 Transfer of cap due to servicing transfer
10/26/2017
$
(1,311,250)
$
45,617,021 Transfer of cap due to servicing transfer
12/21/2017
$
(1,657,238)
$
43,959,783 Transfer of cap due to servicing transfer
03/14/2014
$
210,000
$
210,000 Transfer of cap due to servicing transfer
03/26/2014
$
(20)
$
209,980 Updated due to quarterly assessment and reallocation
06/16/2014
$
10,000
$
219,980 Transfer of cap due to servicing transfer
06/26/2014
$
(258)
$
219,722 Updated due to quarterly assessment and reallocation
07/29/2014
$
(512)
$
219,210 Updated due to quarterly assessment and reallocation
09/29/2014
$
(169)
$
219,041 Updated due to quarterly assessment and reallocation
12/29/2014
$
(20,494)
$
198,547 Updated due to quarterly assessment and reallocation
01/15/2015
$
110,000
$
308,547 Transfer of cap due to servicing transfer
03/26/2015
$
(16,311)
$
292,236 Updated due to quarterly assessment and reallocation
04/28/2015
$
(64,289)
$
227,947 Updated due to quarterly assessment and reallocation
06/25/2015
$
(15,247)
$
212,700 Updated due to quarterly assessment and reallocation
09/28/2015
$
(20,367)
$
192,333 Updated due to quarterly assessment and reallocation
12/28/2015
$
(15,073)
$
177,260 Updated due to quarterly assessment and reallocation
02/25/2016
$
(43,047)
$
134,213 Reallocation due to MHA program deobligation
03/28/2016
$
(899)
$
133,314 Updated due to quarterly assessment and reallocation
04/14/2016
$
360,000
$
493,314 Transfer of cap due to servicing transfer
05/31/2016
$
(83,089)
$
410,225 Updated due to quarterly assessment and reallocation
06/27/2016
$
(49,636)
$
360,589 Updated due to quarterly assessment and reallocation
07/27/2016
$
(49,651)
$
310,938 Updated due to quarterly assessment and reallocation
09/28/2016
$
(86,831)
$
224,107 Updated due to quarterly assessment and reallocation
10/25/2016
$
(82,049)
$
142,058 Updated due to quarterly assessment and reallocation
11/07/2016
$
31,633
$
173,691 Updated due to quarterly assessment and reallocation
11/29/2016
$
(568)
$
173,123 Updated due to quarterly assessment and reallocation
12/27/2016
$
(87)
$
173,036 Transfer of cap due to servicing transfer
02/27/2017
$
(1,504)
$
171,532 Transfer of cap due to servicing transfer
04/26/2017
$
(99)
$
171,433 Transfer of cap due to servicing transfer
06/26/2017
$
(758)
$
170,675 Transfer of cap due to servicing transfer
07/26/2017
$
(23)
$
170,652 Updated due to quarterly assessment and reallocation
09/26/2017
$
(30,230)
$
140,422 Transfer of cap due to servicing transfer
10/26/2017
$
(3,749)
$
136,673 Transfer of cap due to servicing transfer
12/21/2017
$
(3,905)
$
132,768 Transfer of cap due to servicing transfer
09/30/2010
$
45,056
$
145,056 Updated portfolio data from servicer
06/29/2011
$
(1)
$
145,055 Updated due to quarterly assessment and reallocation
06/28/2012
$
(1)
$
145,054 Updated due to quarterly assessment and reallocation
09/27/2012
$
(2)
$
145,052 Updated due to quarterly assessment and reallocation
03/25/2013
$
(1)
$
145,051 Updated due to quarterly assessment and reallocation
12/23/2013
$
(232)
$
144,819 Updated due to quarterly assessment and reallocation
03/26/2014
$
(8)
$
144,811 Updated due to quarterly assessment and reallocation
06/26/2014
$
(96)
$
144,715 Updated due to quarterly assessment and reallocation
07/29/2014
$
(191)
$
144,524 Updated due to quarterly assessment and reallocation
09/29/2014
$
(63)
$
144,461 Updated due to quarterly assessment and reallocation
12/29/2014
$
(7,654)
$
136,807 Updated due to quarterly assessment and reallocation
03/26/2015
$
(2,879)
$
133,928 Updated due to quarterly assessment and reallocation
04/28/2015
$
(11,347)
$
122,581 Updated due to quarterly assessment and reallocation
06/25/2015
$
(2,691)
$
119,890 Updated due to quarterly assessment and reallocation
09/28/2015
$
(3,595)
$
116,295 Updated due to quarterly assessment and reallocation
12/28/2015
$
(2,660)
$
113,635 Updated due to quarterly assessment and reallocation
02/25/2016
$
(7,597)
$
106,038 Reallocation due to MHA program deobligation
03/28/2016
$
(159)
$
105,879 Updated due to quarterly assessment and reallocation
05/31/2016
$
(1,242)
$
104,637 Updated due to quarterly assessment and reallocation
06/27/2016
$
(742)
$
103,895 Updated due to quarterly assessment and reallocation
07/27/2016
$
(742)
$
103,153 Updated due to quarterly assessment and reallocation
09/28/2016
$
(1,298)
$
101,855 Updated due to quarterly assessment and reallocation
10/25/2016
$
(1,226)
$
100,629 Updated due to quarterly assessment and reallocation
11/07/2016
$
472
$
101,101 Updated due to quarterly assessment and reallocation
11/29/2016
$
(8)
$
101,093 Updated due to quarterly assessment and reallocation
12/27/2016
$
(1)
$
101,092 Transfer of cap due to servicing transfer
02/27/2017
$
(22)
$
101,070 Transfer of cap due to servicing transfer
04/26/2017
$
(1)
$
101,069 Transfer of cap due to servicing transfer
06/26/2017
$
(11)
$
101,058 Transfer of cap due to servicing transfer
08/16/2017
$
(101,058)
- Termination of SPA
74
Servicer Modifying Borrowers' Loans
Date
04/27/2009
Name of Institution
Carrington Mortgage Services,
LLC
City
Santa Ana
Adjustment Details
State
CA
Transaction
Type
Purchase
Investment Description
Financial Instrument for Home Loan Modifications
Cap of Incentive Payments on
Pricing
Behalf of Borrowers and to
Mechanism
Servicers & Lenders/Investors
(Cap) *
$
195,000,000 N/A
Note
Adjustment
Date
CAP Adjustment Amount
Adjusted CAP
Reason for Adjustment
06/17/2009
$
(63,980,000)
$
131,020,000 Updated portfolio data from servicer
09/30/2009
$
90,990,000
$
222,010,000 Updated portfolio data from servicer/additional program initial cap
12/30/2009
$
57,980,000
$
279,990,000 Updated portfolio data from servicer/additional program initial cap
03/26/2010
$
74,520,000
$
354,510,000 Updated portfolio data from servicer
07/14/2010
$
(75,610,000)
$
278,900,000 Updated portfolio data from servicer
08/13/2010
$
1,100,000
$
280,000,000 Transfer of cap due to servicing transfer
09/30/2010
$
3,763,685
$
283,763,685 Updated portfolio data from servicer
12/15/2010
$
300,000
$
284,063,685 Transfer of cap due to servicing transfer
01/06/2011
$
(325)
$
284,063,360 Updated due to quarterly assessment and reallocation
01/13/2011
$
2,400,000
$
286,463,360 Transfer of cap due to servicing transfer
03/30/2011
$
(384)
$
286,462,976 Updated due to quarterly assessment and reallocation
06/29/2011
$
(3,592)
$
286,459,384 Updated due to quarterly assessment and reallocation
08/16/2011
$
1,800,000
$
288,259,384 Transfer of cap due to servicing transfer
09/15/2011
$
100,000
$
288,359,384 Transfer of cap due to servicing transfer
11/16/2011
$
1,000,000
$
289,359,384 Transfer of cap due to servicing transfer
02/16/2012
$
1,100,000
$
290,459,384 Transfer of cap due to servicing transfer
04/16/2012
$
100,000
$
290,559,384 Transfer of cap due to servicing transfer
05/16/2012
$
850,000
$
291,409,384 Transfer of cap due to servicing transfer
06/14/2012
$
2,240,000
$
293,649,384 Transfer of cap due to servicing transfer
06/28/2012
$
(2,520)
$
293,646,864 Updated due to quarterly assessment and reallocation
07/16/2012
$
1,690,000
$
295,336,864 Transfer of cap due to servicing transfer
08/16/2012
$
(30,000)
$
295,306,864 Transfer of cap due to servicing transfer
09/27/2012
$
(6,632)
$
295,300,232 Updated due to quarterly assessment and reallocation
10/16/2012
$
2,880,000
$
298,180,232 Transfer of cap due to servicing transfer
11/15/2012
$
1,500,000
$
299,680,232 Transfer of cap due to servicing transfer
12/14/2012
$
2,040,000
$
301,720,232 Transfer of cap due to servicing transfer
12/27/2012
$
(1,103)
$
301,719,129 Updated due to quarterly assessment and reallocation
01/16/2013
$
(10,000)
$
301,709,129 Transfer of cap due to servicing transfer
02/14/2013
$
4,960,000
$
306,669,129 Transfer of cap due to servicing transfer
03/14/2013
$
(30,000)
$
306,639,129 Transfer of cap due to servicing transfer
03/25/2013
$
(4,179)
$
306,634,950 Updated due to quarterly assessment and reallocation
04/16/2013
$
(70,000)
$
306,564,950 Transfer of cap due to servicing transfer
05/16/2013
$
1,570,000
$
308,134,950 Transfer of cap due to servicing transfer
06/14/2013
$
(1,880,000)
$
306,254,950 Transfer of cap due to servicing transfer
06/27/2013
$
(1,522)
$
306,253,428 Updated due to quarterly assessment and reallocation
07/16/2013
$
270,000
$
306,523,428 Transfer of cap due to servicing transfer
09/16/2013
$
5,370,000
$
311,893,428 Transfer of cap due to servicing transfer
09/27/2013
$
(525)
$
311,892,903 Updated due to quarterly assessment and reallocation
10/15/2013
$
(240,000)
$
311,652,903 Transfer of cap due to servicing transfer
11/14/2013
$
2,000,000
$
313,652,903 Transfer of cap due to servicing transfer
12/16/2013
$
1,370,000
$
315,022,903 Transfer of cap due to servicing transfer
12/23/2013
$
(873,891)
$
314,149,012 Updated due to quarterly assessment and reallocation
01/16/2014
$
120,000
$
314,269,012 Transfer of cap due to servicing transfer
02/13/2014
$
280,000
$
314,549,012 Transfer of cap due to servicing transfer
03/14/2014
$
50,000
$
314,599,012 Transfer of cap due to servicing transfer
03/26/2014
$
(30,084)
$
314,568,928 Updated due to quarterly assessment and reallocation
04/16/2014
$
2,660,000
$
317,228,928 Transfer of cap due to servicing transfer
05/15/2014
$
(430,000)
$
316,798,928 Transfer of cap due to servicing transfer
06/16/2014
$
(130,000)
$
316,668,928 Transfer of cap due to servicing transfer
06/26/2014
$
(351,513)
$
316,317,415 Updated due to quarterly assessment and reallocation
07/16/2014
$
(23,460,000)
$
292,857,415 Transfer of cap due to servicing transfer
07/29/2014
$
(621,598)
$
292,235,817 Updated due to quarterly assessment and reallocation
08/14/2014
$
(560,000)
$
291,675,817 Transfer of cap due to servicing transfer
09/16/2014
$
8,810,000
$
300,485,817 Transfer of cap due to servicing transfer
09/29/2014
$
(205,371)
$
300,280,446 Updated due to quarterly assessment and reallocation
10/16/2014
$
(19,600,000)
$
280,680,446 Transfer of cap due to servicing transfer
11/14/2014
$
10,000
$
280,690,446 Transfer of cap due to servicing transfer
12/16/2014
$
50,000
$
280,740,446 Transfer of cap due to servicing transfer
12/29/2014
$
(14,927,467)
$
265,812,979 Updated due to quarterly assessment and reallocation
01/15/2015
$
32,230,000
$
298,042,979 Transfer of cap due to servicing transfer
03/16/2015
$
(20,000)
$
298,022,979 Transfer of cap due to servicing transfer
03/26/2015
$
(8,127,120)
$
289,895,859 Updated due to quarterly assessment and reallocation
04/16/2015
$
40,000
$
289,935,859 Transfer of cap due to servicing transfer
04/28/2015
$
(31,805,366)
$
258,130,493 Updated due to quarterly assessment and reallocation
05/14/2015
$
(30,000)
$
258,100,493 Transfer of cap due to servicing transfer
06/16/2015
$
9,790,000
$
267,890,493 Transfer of cap due to servicing transfer
06/25/2015
$
(8,177,266)
$
259,713,227 Updated due to quarterly assessment and reallocation
07/16/2015
$
(270,000)
$
259,443,227 Transfer of cap due to servicing transfer
08/14/2015
$
(150,000)
$
259,293,227 Transfer of cap due to servicing transfer
75
Servicer Modifying Borrowers' Loans
Date
06/17/2009
Name of Institution
CCO Mortgage, a division of
RBS Citizens NA
City
Glen Allen
Adjustment Details
State
VA
Transaction
Type
Purchase
Investment Description
Financial Instrument for Home Loan Modifications
Cap of Incentive Payments on
Behalf of Borrowers and to
Servicers & Lenders/Investors
(Cap) *
$
Pricing
Mechanism
16,520,000 N/A
Note
Adjustment
Date
CAP Adjustment Amount
Adjusted CAP
Reason for Adjustment
09/16/2015
$
(680,000)
$
258,613,227 Transfer of cap due to servicing transfer
09/28/2015
$
(10,203,040)
$
248,410,187 Updated due to quarterly assessment and reallocation
10/15/2015
$
(730,000)
$
247,680,187 Transfer of cap due to servicing transfer
11/16/2015
$
(540,000)
$
247,140,187 Transfer of cap due to servicing transfer
12/16/2015
$
(50,000)
$
247,090,187 Transfer of cap due to servicing transfer
12/28/2015
$
(6,579,685)
$
240,510,502 Updated due to quarterly assessment and reallocation
01/14/2016
$
(420,000)
$
240,090,502 Transfer of cap due to servicing transfer
02/16/2016
$
30,000
$
240,120,502 Transfer of cap due to servicing transfer
02/25/2016
$
(24,021,774)
$
216,098,728 Reallocation due to MHA program deobligation
03/16/2016
$
4,710,000
$
220,808,728 Transfer of cap due to servicing transfer
03/28/2016
$
(580,686)
$
220,228,042 Updated due to quarterly assessment and reallocation
04/14/2016
$
6,440,000
$
226,668,042 Transfer of cap due to servicing transfer
05/16/2016
$
8,550,000
$
235,218,042 Transfer of cap due to servicing transfer
05/31/2016
$
(6,799,869)
$
228,418,173 Updated due to quarterly assessment and reallocation
06/16/2016
$
(380,000)
$
228,038,173 Transfer of cap due to servicing transfer
06/27/2016
$
(3,862,673)
$
224,175,500 Updated due to quarterly assessment and reallocation
07/14/2016
$
3,650,000
$
227,825,500 Transfer of cap due to servicing transfer
07/27/2016
$
(4,107,681)
$
223,717,819 Updated due to quarterly assessment and reallocation
08/16/2016
$
6,530,000
$
230,247,819 Transfer of cap due to servicing transfer
09/15/2016
$
(220,000)
$
230,027,819 Transfer of cap due to servicing transfer
09/28/2016
$
(8,385,271)
$
221,642,548 Updated due to quarterly assessment and reallocation
10/14/2016
$
62,500,000
$
284,142,548 Transfer of cap due to servicing transfer
10/25/2016
$
(47,135,612)
$
237,006,936 Updated due to quarterly assessment and reallocation
11/07/2016
$
18,172,435
$
255,179,371 Updated due to quarterly assessment and reallocation
11/16/2016
$
(190,000)
$
254,989,371 Transfer of cap due to servicing transfer
11/29/2016
$
(406,948)
$
254,582,423 Updated due to quarterly assessment and reallocation
12/15/2016
$
720,000
$
255,302,423 Transfer of cap due to servicing transfer
12/27/2016
$
(61,052)
$
255,241,371 Transfer of cap due to servicing transfer
01/13/2017
$
1,890,000
$
257,131,371 Transfer of cap due to servicing transfer
02/16/2017
$
1,160,000
$
258,291,371 Transfer of cap due to servicing transfer
02/27/2017
$
(1,057,578)
$
257,233,793 Transfer of cap due to servicing transfer
03/16/2017
$
980,000
$
258,213,793 Transfer of cap due to servicing transfer
04/26/2017
$
(69,282)
$
258,144,511 Transfer of cap due to servicing transfer
06/26/2017
$
(361,909)
$
257,782,602 Transfer of cap due to servicing transfer
07/26/2017
$
(11,076)
$
257,771,526 Updated due to quarterly assessment and reallocation
09/26/2017
$
(9,194,130)
$
248,577,396 Transfer of cap due to servicing transfer
10/26/2017
$
17,985,484
$
266,562,880 Transfer of cap due to servicing transfer
12/21/2017
$
(461,061)
$
266,101,819 Transfer of cap due to servicing transfer
09/30/2009
$
13,070,000
$
29,590,000 Updated portfolio data from servicer/additional program initial cap
12/30/2009
$
145,510,000
$
175,100,000 Updated portfolio data from servicer/additional program initial cap
03/26/2010
$
(116,950,000)
$
58,150,000 Updated portfolio data from servicer
07/14/2010
$
(23,350,000)
$
34,800,000 Updated portfolio data from servicer
09/30/2010
$
7,846,346
$
42,646,346 Updated portfolio data from servicer
01/06/2011
$
(46)
$
42,646,300 Updated due to quarterly assessment and reallocation
03/30/2011
$
(55)
$
42,646,245 Updated due to quarterly assessment and reallocation
06/29/2011
$
(452)
$
42,645,793 Updated due to quarterly assessment and reallocation
06/28/2012
$
(309)
$
42,645,484 Updated due to quarterly assessment and reallocation
09/27/2012
$
(807)
$
42,644,677 Updated due to quarterly assessment and reallocation
12/27/2012
$
(131)
$
42,644,546 Updated due to quarterly assessment and reallocation
03/25/2013
$
(475)
$
42,644,071 Updated due to quarterly assessment and reallocation
06/27/2013
$
(175)
$
42,643,896 Updated due to quarterly assessment and reallocation
09/27/2013
$
(62)
$
42,643,834 Updated due to quarterly assessment and reallocation
12/23/2013
$
(97,446)
$
42,546,388 Updated due to quarterly assessment and reallocation
03/26/2014
$
(3,201)
$
42,543,187 Updated due to quarterly assessment and reallocation
06/26/2014
$
(35,874)
$
42,507,313 Updated due to quarterly assessment and reallocation
07/29/2014
$
(69,315)
$
42,437,998 Updated due to quarterly assessment and reallocation
09/29/2014
$
(21,381)
$
42,416,617 Updated due to quarterly assessment and reallocation
12/29/2014
$
(960,875)
$
41,455,742 Updated due to quarterly assessment and reallocation
03/26/2015
$
(307,107)
$
41,148,635 Updated due to quarterly assessment and reallocation
04/28/2015
$
3,297,369
$
44,446,004 Updated due to quarterly assessment and reallocation
06/25/2015
$
(31,427)
$
44,414,577 Updated due to quarterly assessment and reallocation
09/28/2015
$
2,309,433
$
46,724,010 Updated due to quarterly assessment and reallocation
10/15/2015
$
(20,000)
$
46,704,010 Transfer of cap due to servicing transfer
12/28/2015
$
1,311,814
$
48,015,824 Updated due to quarterly assessment and reallocation
02/25/2016
$
(1,667,058)
$
46,348,766 Reallocation due to MHA program deobligation
03/28/2016
$
(24,922)
$
46,323,844 Updated due to quarterly assessment and reallocation
05/31/2016
$
(85,207)
$
46,238,637 Updated due to quarterly assessment and reallocation
06/27/2016
$
(24,675)
$
46,213,962 Updated due to quarterly assessment and reallocation
07/27/2016
$
267,846
$
46,481,808 Updated due to quarterly assessment and reallocation
76
Servicer Modifying Borrowers' Loans
Date
Name of Institution
11/16/2015 Cenlar FSB
Central Florida Educators
09/09/2009
Federal Credit Union
09/23/2009
Central Jersey Federal Credit
Union
03/16/2016 Central Pacific Bank
09/24/2010 Centrue Bank
04/13/2009 Chase Home Finance, LLC
06/14/2013 Cheviot Savings Bank
City
Adjustment Details
State
Transaction
Type
Investment Description
Ewing
NJ
Purchase
Financial Instrument for Home Loan Modifications
Lake Mary
FL
Purchase
Financial Instrument for Home Loan Modifications
Woodbridge
NJ
Purchase
Honolulu
HI
Purchase
Ottawa
IL
Purchase
Financial Instrument for Home Loan Modifications
Financial Instrument for Home Loan Modifications
Financial Instrument for Home Loan Modifications
Iselin
NJ
Purchase
Financial Instrument for Home Loan Modifications
Cincinnati
OH
Purchase
Financial Instrument for Home Loan Modifications
Cap of Incentive Payments on
Behalf of Borrowers and to
Servicers & Lenders/Investors
(Cap) *
Pricing
Mechanism
- N/A
$
$
$
3
1,250,000 N/A
30,000 N/A
- N/A
$
Note
3
1,900,000 N/A
Adjustment
Date
CAP Adjustment Amount
Adjusted CAP
Reason for Adjustment
09/28/2016
$
158,739
$
46,640,547 Updated due to quarterly assessment and reallocation
10/14/2016
$
(6,690,000)
$
39,950,547 Transfer of cap due to servicing transfer
10/25/2016
$
(323,944)
$
39,626,603 Updated due to quarterly assessment and reallocation
11/07/2016
$
124,892
$
39,751,495 Updated due to quarterly assessment and reallocation
11/29/2016
$
(18,303)
$
39,733,192 Updated due to quarterly assessment and reallocation
12/15/2016
$
(860,000)
$
38,873,192 Transfer of cap due to servicing transfer
12/27/2016
$
(2,012)
$
38,871,180 Transfer of cap due to servicing transfer
02/27/2017
$
(29,742)
$
38,841,438 Transfer of cap due to servicing transfer
04/26/2017
$
(1,919)
$
38,839,519 Transfer of cap due to servicing transfer
06/26/2017
$
(16,130)
$
38,823,389 Transfer of cap due to servicing transfer
07/26/2017
$
(501)
$
38,822,888 Updated due to quarterly assessment and reallocation
09/26/2017
$
493,540
$
39,316,428 Transfer of cap due to servicing transfer
10/26/2017
$
(8,597)
$
39,307,831 Transfer of cap due to servicing transfer
12/21/2017
$
(22,746)
$
39,285,085 Transfer of cap due to servicing transfer
11/16/2015
$
10,000
$
10/02/2009
$
280,000
$
1,530,000 Updated portfolio data from servicer/additional program initial cap
12/30/2009
$
(750,000)
$
780,000 Updated portfolio data from servicer/additional program initial cap
03/26/2010
$
120,000
$
900,000 Updated portfolio data from servicer
07/14/2010
$
(300,000)
$
600,000 Updated portfolio data from servicer
09/30/2010
$
270,334
$
870,334 Updated portfolio data from servicer
01/06/2011
$
(1)
$
870,333 Updated due to quarterly assessment and reallocation
03/30/2011
$
(1)
$
870,332 Updated due to quarterly assessment and reallocation
06/29/2011
$
(5)
$
06/28/2012
$
21,717
$
892,044 Updated due to quarterly assessment and reallocation
09/27/2012
$
190,077
$
1,082,121 Updated due to quarterly assessment and reallocation
12/27/2012
$
35,966
$
1,118,087 Updated due to quarterly assessment and reallocation
03/25/2013
$
59,464
$
1,177,551 Updated due to quarterly assessment and reallocation
06/27/2013
$
35,438
$
1,212,989 Updated due to quarterly assessment and reallocation
09/27/2013
$
26,926
$
1,239,915 Updated due to quarterly assessment and reallocation
12/23/2013
$
87,045
$
1,326,960 Updated due to quarterly assessment and reallocation
03/26/2014
$
31,204
$
1,358,164 Updated due to quarterly assessment and reallocation
06/26/2014
$
68,259
$
1,426,423 Updated due to quarterly assessment and reallocation
07/29/2014
$
(2)
$
1,426,421 Updated due to quarterly assessment and reallocation
09/29/2014
$
(21)
$
1,426,400 Updated due to quarterly assessment and reallocation
12/29/2014
$
441,316
$
1,867,716 Updated due to quarterly assessment and reallocation
03/26/2015
$
(540)
$
1,867,176 Updated due to quarterly assessment and reallocation
04/28/2015
$
33,587
$
1,900,763 Updated due to quarterly assessment and reallocation
06/25/2015
$
30,826
$
1,931,589 Updated due to quarterly assessment and reallocation
09/28/2015
$
(1,954)
$
1,929,635 Updated due to quarterly assessment and reallocation
12/28/2015
$
3,864
$
1,933,499 Updated due to quarterly assessment and reallocation
02/25/2016
$
(62,589)
$
1,870,910 Reallocation due to MHA program deobligation
03/28/2016
$
(1,311)
$
1,869,599 Updated due to quarterly assessment and reallocation
05/31/2016
$
(5,520)
$
1,864,079 Updated due to quarterly assessment and reallocation
06/27/2016
$
(3,329)
$
1,860,750 Updated due to quarterly assessment and reallocation
07/27/2016
$
(3,374)
$
1,857,376 Updated due to quarterly assessment and reallocation
09/28/2016
$
(9,112)
$
1,848,264 Updated due to quarterly assessment and reallocation
10/25/2016
$
(8,828)
$
1,839,436 Updated due to quarterly assessment and reallocation
11/07/2016
$
3,403
$
1,842,839 Updated due to quarterly assessment and reallocation
11/29/2016
$
(849)
$
1,841,990 Updated due to quarterly assessment and reallocation
12/27/2016
$
(130)
$
1,841,860 Transfer of cap due to servicing transfer
02/27/2017
$
(2,571)
$
1,839,289 Transfer of cap due to servicing transfer
04/26/2017
$
(186)
$
1,839,103 Transfer of cap due to servicing transfer
06/26/2017
$
(1,433)
$
1,837,670 Transfer of cap due to servicing transfer
07/26/2017
$
(43)
$
1,837,627 Updated due to quarterly assessment and reallocation
09/26/2017
$
(14,384)
$
1,823,243 Transfer of cap due to servicing transfer
10/26/2017
$
(1,793)
$
1,821,450 Transfer of cap due to servicing transfer
12/21/2017
$
(3,390)
$
1,818,060 Transfer of cap due to servicing transfer
10/02/2009
$
10,000
$
40,000 Updated portfolio data from servicer/additional program initial cap
12/30/2009
$
120,000
$
160,000 Updated portfolio data from servicer/additional program initial cap
03/26/2010
$
10,000
$
170,000 Updated portfolio data from servicer
07/14/2010
$
(70,000)
$
100,000 Updated portfolio data from servicer
09/30/2010
$
45,056
$
145,056 Updated portfolio data from servicer
10/29/2010
$
(145,056)
03/16/2016
$
20,000
$
09/30/2010
$
856,056
$
2,756,056 Updated portfolio data from servicer
01/06/2011
$
(4)
$
2,756,052 Updated due to quarterly assessment and reallocation
03/09/2011
$
(2,756,052)
3,552,000,000 N/A
1
07/31/2009
$
(3,552,000,000)
- N/A
3
06/14/2013
$
10,000
10,000 Transfer of cap due to servicing transfer
870,327 Updated due to quarterly assessment and reallocation
- Termination of SPA
20,000 Transfer of cap due to servicing transfer
- Termination of SPA
- Termination of SPA
$
10,000 Transfer of cap due to servicing transfer
77
Servicer Modifying Borrowers' Loans
Date
Name of Institution
City
CIT Bank, N.A. (OneWest Bank,
08/28/2009
Pasadena
NA)
04/13/2009 CitiMortgage, Inc.
O'Fallon
Adjustment Details
State
CA
MO
Transaction
Type
Purchase
Purchase
Investment Description
Financial Instrument for Home Loan Modifications
Financial Instrument for Home Loan Modifications
Cap of Incentive Payments on
Behalf of Borrowers and to
Servicers & Lenders/Investors
(Cap) *
$
$
Pricing
Mechanism
668,440,000 N/A
2,071,000,000 N/A
Note
Adjustment
Date
CAP Adjustment Amount
Adjusted CAP
Reason for Adjustment
06/27/2013
$
1,344
$
11,344 Updated due to quarterly assessment and reallocation
12/29/2014
$
6,250
$
17,594 Updated due to quarterly assessment and reallocation
06/15/2017
$
(1)
$
10/02/2009
$
145,800,000
$
814,240,000 Updated portfolio data from servicer/additional program initial cap
12/30/2009
$
1,355,930,000
$
2,170,170,000 Updated portfolio data from servicer/additional program initial cap
03/26/2010
$
121,180,000
$
2,291,350,000 Updated portfolio data from servicer
07/14/2010
$
(408,850,000)
$
1,882,500,000 Updated portfolio data from servicer
09/30/2010
$
5,500,000
$
1,888,000,000 Updated portfolio data from servicer/additional program initial cap
09/30/2010
$
(51,741,163)
$
1,836,258,837 Updated portfolio data from servicer
01/06/2011
$
(2,282)
$
1,836,256,555 Updated due to quarterly assessment and reallocation
03/30/2011
$
(2,674)
$
1,836,253,881 Updated due to quarterly assessment and reallocation
06/29/2011
$
(24,616)
$
1,836,229,265 Updated due to quarterly assessment and reallocation
06/28/2012
$
(15,481)
$
1,836,213,784 Updated due to quarterly assessment and reallocation
09/27/2012
$
(40,606)
$
1,836,173,178 Updated due to quarterly assessment and reallocation
12/27/2012
$
(6,688)
$
1,836,166,490 Updated due to quarterly assessment and reallocation
03/25/2013
$
(24,811)
$
1,836,141,679 Updated due to quarterly assessment and reallocation
06/27/2013
$
(9,058)
$
1,836,132,621 Updated due to quarterly assessment and reallocation
09/27/2013
$
(3,154)
$
1,836,129,467 Updated due to quarterly assessment and reallocation
10/15/2013
$
(500,000)
$
1,835,629,467 Transfer of cap due to servicing transfer
11/14/2013
$
(4,440,000)
$
1,831,189,467 Transfer of cap due to servicing transfer
12/16/2013
$
(277,680,000)
$
1,553,509,467 Transfer of cap due to servicing transfer
12/23/2013
$
(5,188,787)
$
1,548,320,680 Updated due to quarterly assessment and reallocation
01/16/2014
$
(25,750,000)
$
1,522,570,680 Transfer of cap due to servicing transfer
02/13/2014
$
(10,000)
$
1,522,560,680 Transfer of cap due to servicing transfer
03/14/2014
$
(6,240,000)
$
1,516,320,680 Transfer of cap due to servicing transfer
03/26/2014
$
(181,765)
$
1,516,138,915 Updated due to quarterly assessment and reallocation
06/16/2014
$
(30,000)
$
1,516,108,915 Transfer of cap due to servicing transfer
06/26/2014
$
(2,139,762)
$
1,513,969,153 Updated due to quarterly assessment and reallocation
07/16/2014
$
(17,620,000)
$
1,496,349,153 Transfer of cap due to servicing transfer
07/29/2014
$
(4,233,602)
$
1,492,115,551 Updated due to quarterly assessment and reallocation
09/16/2014
$
650,000
$
1,492,765,551 Transfer of cap due to servicing transfer
09/29/2014
$
(1,394,443)
$
1,491,371,108 Updated due to quarterly assessment and reallocation
11/14/2014
$
100,000
$
1,491,471,108 Transfer of cap due to servicing transfer
12/16/2014
$
180,000
$
1,491,651,108 Transfer of cap due to servicing transfer
12/29/2014
$
(164,135,059)
$
1,327,516,049 Updated due to quarterly assessment and reallocation
01/15/2015
$
20,000
$
1,327,536,049 Transfer of cap due to servicing transfer
03/26/2015
$
(61,475,721)
$
1,266,060,328 Updated due to quarterly assessment and reallocation
04/16/2015
$
10,000
$
1,266,070,328 Transfer of cap due to servicing transfer
04/28/2015
$
(241,812,784)
$
1,024,257,544 Updated due to quarterly assessment and reallocation
05/14/2015
$
(10,000)
$
1,024,247,544 Transfer of cap due to servicing transfer
06/16/2015
$
(140,000)
$
1,024,107,544 Transfer of cap due to servicing transfer
06/25/2015
$
(57,027,798)
$
967,079,746 Updated due to quarterly assessment and reallocation
07/16/2015
$
(220,000)
$
966,859,746 Transfer of cap due to servicing transfer
09/28/2015
$
(75,969,820)
$
890,889,926 Updated due to quarterly assessment and reallocation
12/28/2015
$
(55,846,129)
$
835,043,797 Updated due to quarterly assessment and reallocation
02/25/2016
$
(176,741,972)
$
658,301,825 Reallocation due to MHA program deobligation
03/28/2016
$
(3,622,613)
$
654,679,212 Updated due to quarterly assessment and reallocation
05/31/2016
$
(27,071,758)
$
627,607,454 Updated due to quarterly assessment and reallocation
06/27/2016
$
(16,052,761)
$
611,554,693 Updated due to quarterly assessment and reallocation
07/27/2016
$
(15,879,140)
$
595,675,553 Updated due to quarterly assessment and reallocation
09/28/2016
$
(27,620,143)
$
568,055,410 Updated due to quarterly assessment and reallocation
10/25/2016
$
(25,878,536)
$
542,176,874 Updated due to quarterly assessment and reallocation
11/07/2016
$
9,977,085
$
552,153,959 Updated due to quarterly assessment and reallocation
11/29/2016
$
(404,062)
$
551,749,897 Updated due to quarterly assessment and reallocation
12/27/2016
$
(62,692)
$
551,687,205 Transfer of cap due to servicing transfer
02/16/2017
$
(10,000)
$
551,677,205 Transfer of cap due to servicing transfer
02/27/2017
$
(1,071,284)
$
550,605,921 Transfer of cap due to servicing transfer
03/16/2017
$
(1,580,000)
$
549,025,921 Transfer of cap due to servicing transfer
04/26/2017
$
(69,518)
$
548,956,403 Transfer of cap due to servicing transfer
06/26/2017
$
(537,629)
$
548,418,774 Transfer of cap due to servicing transfer
07/26/2017
$
(16,327)
$
548,402,447 Updated due to quarterly assessment and reallocation
09/26/2017
$
(9,223,004)
$
539,179,443 Transfer of cap due to servicing transfer
10/26/2017
$
(1,175,233)
$
12/21/2017
$
(1,263,857)
$
06/12/2009
$
(991,580,000)
$
1,079,420,000 Updated portfolio data from servicer
09/30/2009
$
1,010,180,000
$
2,089,600,000 Updated portfolio data from servicer/additional program initial cap
12/30/2009
$
(105,410,000)
$
1,984,190,000 Updated portfolio data from servicer/additional program initial cap
03/26/2010
$
(199,300,000)
$
1,784,890,000 Updated portfolio data from servicer/additional program initial cap
04/19/2010
$
(230,000)
$
1,784,660,000 Transfer of cap due to servicing transfer
17,593 Transfer of cap due to servicing transfer
538,004,210 Transfer of cap due to servicing transfer
536,740,353 Transfer of cap due to servicing transfer
78
Servicer Modifying Borrowers' Loans
Date
Name of Institution
City
Adjustment Details
State
Transaction
Type
Investment Description
Cap of Incentive Payments on
Behalf of Borrowers and to
Servicers & Lenders/Investors
(Cap) *
Pricing
Mechanism
Note
Adjustment
Date
CAP Adjustment Amount
Adjusted CAP
Reason for Adjustment
05/14/2010
$
(3,000,000)
$
1,781,660,000 Transfer of cap due to servicing transfer
06/16/2010
$
(12,280,000)
$
1,769,380,000 Transfer of cap due to servicing transfer
07/14/2010
$
(757,680,000)
$
1,011,700,000 Updated portfolio data from servicer
07/16/2010
$
(7,110,000)
$
1,004,590,000 Transfer of cap due to servicing transfer
08/13/2010
$
(6,300,000)
$
09/15/2010
$
(8,300,000)
$
09/30/2010
$
32,400,000
$
1,022,390,000 Updated portfolio data from servicer/additional program initial cap
09/30/2010
$
101,287,484
$
1,123,677,484 Updated portfolio data from servicer
10/15/2010
$
(1,400,000)
$
1,122,277,484 Transfer of cap due to servicing transfer
11/16/2010
$
(3,200,000)
$
1,119,077,484 Transfer of cap due to servicing transfer
01/06/2011
$
(981)
$
1,119,076,503 Updated due to quarterly assessment and reallocation
01/13/2011
$
(10,500,000)
$
1,108,576,503 Transfer of cap due to servicing transfer
02/16/2011
$
(4,600,000)
$
1,103,976,503 Transfer of cap due to servicing transfer
03/16/2011
$
(30,500,000)
$
1,073,476,503 Transfer of cap due to servicing transfer
03/30/2011
$
(1,031)
$
1,073,475,472 Updated due to quarterly assessment and reallocation
04/13/2011
$
100,000
$
1,073,575,472 Transfer of cap due to servicing transfer
05/13/2011
$
(7,200,000)
$
1,066,375,472 Transfer of cap due to servicing transfer
06/16/2011
$
(400,000)
$
1,065,975,472 Transfer of cap due to servicing transfer
06/29/2011
$
(9,131)
$
1,065,966,341 Updated due to quarterly assessment and reallocation
07/14/2011
$
(14,500,000)
$
1,051,466,341 Transfer of cap due to servicing transfer
08/16/2011
$
(1,600,000)
$
1,049,866,341 Transfer of cap due to servicing transfer
09/15/2011
$
700,000
$
1,050,566,341 Transfer of cap due to servicing transfer
10/14/2011
$
15,200,000
$
1,065,766,341 Transfer of cap due to servicing transfer
11/16/2011
$
(2,900,000)
$
1,062,866,341 Transfer of cap due to servicing transfer
12/15/2011
$
(5,000,000)
$
1,057,866,341 Transfer of cap due to servicing transfer
01/13/2012
$
(900,000)
$
1,056,966,341 Transfer of cap due to servicing transfer
02/16/2012
$
(1,100,000)
$
1,055,866,341 Transfer of cap due to servicing transfer
03/15/2012
$
(1,700,000)
$
1,054,166,341 Transfer of cap due to servicing transfer
04/16/2012
$
(600,000)
$
1,053,566,341 Transfer of cap due to servicing transfer
05/16/2012
$
(340,000)
$
1,053,226,341 Transfer of cap due to servicing transfer
06/14/2012
$
(2,880,000)
$
1,050,346,341 Transfer of cap due to servicing transfer
06/28/2012
$
(5,498)
$
1,050,340,843 Updated due to quarterly assessment and reallocation
07/16/2012
$
(298,960,000)
$
751,380,843 Transfer of cap due to servicing transfer
07/27/2012
$
263,550,000
$
1,014,930,843 Transfer of cap due to servicing transfer
08/16/2012
$
30,000
$
1,014,960,843 Transfer of cap due to servicing transfer
09/27/2012
$
(12,722)
$
1,014,948,121 Updated due to quarterly assessment and reallocation
10/16/2012
$
(4,020,000)
$
1,010,928,121 Transfer of cap due to servicing transfer
11/15/2012
$
(1,460,000)
$
1,009,468,121 Transfer of cap due to servicing transfer
12/14/2012
$
(6,000,000)
$
1,003,468,121 Transfer of cap due to servicing transfer
12/27/2012
$
(1,916)
$
1,003,466,205 Updated due to quarterly assessment and reallocation
02/14/2013
$
(8,450,000)
$
995,016,205 Transfer of cap due to servicing transfer
03/14/2013
$
(1,890,000)
$
993,126,205 Transfer of cap due to servicing transfer
03/25/2013
$
(6,606)
$
993,119,599 Updated due to quarterly assessment and reallocation
04/16/2013
$
(3,490,000)
$
989,629,599 Transfer of cap due to servicing transfer
06/14/2013
$
(3,630,000)
$
985,999,599 Transfer of cap due to servicing transfer
06/27/2013
$
(2,161)
$
985,997,438 Updated due to quarterly assessment and reallocation
07/16/2013
$
(26,880,000)
$
959,117,438 Transfer of cap due to servicing transfer
09/16/2013
$
(12,160,000)
$
946,957,438 Transfer of cap due to servicing transfer
09/27/2013
$
(610)
$
946,956,828 Updated due to quarterly assessment and reallocation
11/14/2013
$
(38,950,000)
$
908,006,828 Transfer of cap due to servicing transfer
12/16/2013
$
(8,600,000)
$
899,406,828 Transfer of cap due to servicing transfer
12/23/2013
$
(769,699)
$
898,637,129 Updated due to quarterly assessment and reallocation
01/16/2014
$
(5,360,000)
$
893,277,129 Transfer of cap due to servicing transfer
02/13/2014
$
(7,680,000)
$
885,597,129 Transfer of cap due to servicing transfer
03/14/2014
$
(2,950,000)
$
882,647,129 Transfer of cap due to servicing transfer
03/26/2014
$
(21,827)
$
882,625,302 Updated due to quarterly assessment and reallocation
04/16/2014
$
(60,000)
$
882,565,302 Transfer of cap due to servicing transfer
05/15/2014
$
(30,000)
$
882,535,302 Transfer of cap due to servicing transfer
06/16/2014
$
(330,000)
$
882,205,302 Transfer of cap due to servicing transfer
06/26/2014
$
(195,762)
$
882,009,540 Updated due to quarterly assessment and reallocation
07/16/2014
$
(430,000)
$
881,579,540 Transfer of cap due to servicing transfer
07/29/2014
$
(377,564)
$
881,201,976 Updated due to quarterly assessment and reallocation
08/14/2014
$
(1,080,000)
$
880,121,976 Transfer of cap due to servicing transfer
09/29/2014
$
(92,495)
$
880,029,481 Updated due to quarterly assessment and reallocation
10/16/2014
$
(1,510,000)
$
878,519,481 Transfer of cap due to servicing transfer
11/14/2014
$
30,000
$
878,549,481 Transfer of cap due to servicing transfer
12/16/2014
$
(2,910,000)
$
875,639,481 Transfer of cap due to servicing transfer
12/29/2014
$
94,089,225
$
969,728,706 Updated due to quarterly assessment and reallocation
01/15/2015
$
(34,650,000)
$
935,078,706 Transfer of cap due to servicing transfer
998,290,000 Transfer of cap due to servicing transfer
989,990,000 Transfer of cap due to servicing transfer
79
Servicer Modifying Borrowers' Loans
Date
Name of Institution
City
Adjustment Details
State
Transaction
Type
Investment Description
Cap of Incentive Payments on
Behalf of Borrowers and to
Servicers & Lenders/Investors
(Cap) *
Pricing
Mechanism
Note
Adjustment
Date
CAP Adjustment Amount
Freeburg
IL
Purchase
Financial Instrument for Home Loan Modifications
$
800,000 N/A
$
(2,440,000)
$
932,638,706 Transfer of cap due to servicing transfer
03/16/2015
$
(19,110,000)
$
913,528,706 Transfer of cap due to servicing transfer
03/26/2015
$
76,351,360
$
989,880,066 Updated due to quarterly assessment and reallocation
04/16/2015
$
(6,750,000)
$
04/28/2015
$
57,599,924
$
1,040,729,990 Updated due to quarterly assessment and reallocation
05/14/2015
$
(27,080,000)
$
1,013,649,990 Transfer of cap due to servicing transfer
06/16/2015
$
(79,070,000)
$
06/25/2015
$
86,251,406
$
1,020,831,396 Updated due to quarterly assessment and reallocation
07/16/2015
$
(30,000)
$
1,020,801,396 Transfer of cap due to servicing transfer
08/14/2015
$
(18,320,000)
$
1,002,481,396 Transfer of cap due to servicing transfer
09/16/2015
$
(290,000)
$
1,002,191,396 Transfer of cap due to servicing transfer
09/28/2015
$
24,031,176
$
1,026,222,572 Updated due to quarterly assessment and reallocation
10/15/2015
$
(10,000)
$
1,026,212,572 Transfer of cap due to servicing transfer
11/16/2015
$
(2,430,000)
$
1,023,782,572 Transfer of cap due to servicing transfer
12/16/2015
$
(13,640,000)
$
1,010,142,572 Transfer of cap due to servicing transfer
12/28/2015
$
20,325,747
$
1,030,468,319 Updated due to quarterly assessment and reallocation
01/14/2016
$
(440,000)
$
1,030,028,319 Transfer of cap due to servicing transfer
02/16/2016
$
(250,000)
$
1,029,778,319 Transfer of cap due to servicing transfer
02/25/2016
$
(34,557,541)
$
995,220,778 Reallocation due to MHA program deobligation
03/16/2016
$
(6,120,000)
$
989,100,778 Transfer of cap due to servicing transfer
03/28/2016
$
(588,465)
$
988,512,313 Updated due to quarterly assessment and reallocation
04/14/2016
$
(14,990,000)
$
973,522,313 Transfer of cap due to servicing transfer
05/16/2016
$
(20,250,000)
$
953,272,313 Transfer of cap due to servicing transfer
05/31/2016
$
13,423,899
$
966,696,212 Updated due to quarterly assessment and reallocation
06/16/2016
$
(16,740,000)
$
949,956,212 Transfer of cap due to servicing transfer
06/27/2016
$
7,280,004
$
957,236,216 Updated due to quarterly assessment and reallocation
07/14/2016
$
(2,960,000)
$
954,276,216 Transfer of cap due to servicing transfer
07/27/2016
$
5,640,105
$
959,916,321 Updated due to quarterly assessment and reallocation
08/16/2016
$
(33,560,000)
$
926,356,321 Transfer of cap due to servicing transfer
09/15/2016
$
(3,980,000)
$
922,376,321 Transfer of cap due to servicing transfer
09/28/2016
$
19,367,006
$
941,743,327 Updated due to quarterly assessment and reallocation
10/14/2016
$
(271,360,000)
$
670,383,327 Transfer of cap due to servicing transfer
10/25/2016
$
272,562,455
$
942,945,782 Updated due to quarterly assessment and reallocation
-
$
942,945,782 Updated due to quarterly assessment and reallocation
11/16/2016
$
(80,000)
$
942,865,782 Transfer of cap due to servicing transfer
11/29/2016
$
(359,401)
$
942,506,381 Updated due to quarterly assessment and reallocation
12/15/2016
$
(1,260,000)
$
941,246,381 Transfer of cap due to servicing transfer
12/27/2016
$
(47,744)
$
941,198,637 Transfer of cap due to servicing transfer
01/13/2017
$
20,000
$
941,218,637 Transfer of cap due to servicing transfer
02/16/2017
$
(1,960,000)
$
939,258,637 Transfer of cap due to servicing transfer
02/27/2017
$
(538,265)
$
938,720,372 Transfer of cap due to servicing transfer
03/16/2017
$
(90,000)
$
938,630,372 Transfer of cap due to servicing transfer
04/26/2017
$
(38,076)
$
938,592,296 Transfer of cap due to servicing transfer
06/26/2017
$
(346,282)
$
938,246,014 Transfer of cap due to servicing transfer
07/26/2017
$
(10,857)
$
938,235,157 Updated due to quarterly assessment and reallocation
09/26/2017
$
6,239,488
$
944,474,645 Transfer of cap due to servicing transfer
10/26/2017
$
279,111
$
944,753,756 Transfer of cap due to servicing transfer
12/21/2017
$
(329,679)
$
944,424,077 Transfer of cap due to servicing transfer
09/30/2010
$
360,445
$
1,160,445 Updated portfolio data from servicer
01/06/2011
$
(2)
$
1,160,443 Updated due to quarterly assessment and reallocation
$
(1,160,443)
03/23/2011
12/16/2009 Citizens First National Bank
Spring Valley
IL
Purchase
Financial Instrument for Home Loan Modifications
$
620,000 N/A
6
Reason for Adjustment
02/13/2015
11/07/2016
09/24/2010 Citizens Community Bank
Adjusted CAP
983,130,066 Transfer of cap due to servicing transfer
934,579,990 Transfer of cap due to servicing transfer
- Termination of SPA
01/22/2010
$
30,000
$
03/26/2010
$
(580,000)
$
70,000 Updated portfolio data from servicer
07/14/2010
$
1,430,000
$
1,500,000 Updated portfolio data from servicer
09/30/2010
$
95,612
$
1,595,612 Updated portfolio data from servicer
01/06/2011
$
(2)
$
1,595,610 Updated due to quarterly assessment and reallocation
03/30/2011
$
(3)
$
1,595,607 Updated due to quarterly assessment and reallocation
06/29/2011
$
(24)
$
1,595,583 Updated due to quarterly assessment and reallocation
06/28/2012
$
(16)
$
1,595,567 Updated due to quarterly assessment and reallocation
09/27/2012
$
(45)
$
1,595,522 Updated due to quarterly assessment and reallocation
12/27/2012
$
(8)
$
1,595,514 Updated due to quarterly assessment and reallocation
03/25/2013
$
(30)
$
1,595,484 Updated due to quarterly assessment and reallocation
06/27/2013
$
(11)
$
1,595,473 Updated due to quarterly assessment and reallocation
09/27/2013
$
(4)
$
1,595,469 Updated due to quarterly assessment and reallocation
12/23/2013
$
(6,733)
$
1,588,736 Updated due to quarterly assessment and reallocation
03/26/2014
$
(237)
$
1,588,499 Updated due to quarterly assessment and reallocation
05/15/2014
$
(90,000)
$
1,498,499 Transfer of cap due to servicing transfer
06/26/2014
$
(2,840)
$
1,495,659 Updated due to quarterly assessment and reallocation
07/01/2014
$
(1,353,853)
$
650,000 Updated portfolio data from servicer/additional program initial cap
141,806 Termination of SPA
80
Servicer Modifying Borrowers' Loans
Date
06/26/2009
Name of Institution
Citizens First Wholesale
Mortgage Company
City
The Villages
ClearSpring Loan Services, Inc.
09/02/2009 (Vantium Capital, Inc. d/b/a
Plano
Acqura Loan Services)
Adjustment Details
State
FL
TX
Transaction
Type
Purchase
Purchase
Investment Description
Financial Instrument for Home Loan Modifications
Financial Instrument for Home Loan Modifications
Cap of Incentive Payments on
Pricing
Behalf of Borrowers and to
Mechanism
Servicers & Lenders/Investors
(Cap) *
$
30,000 N/A
$
6,000,000 N/A
Note
4
Adjustment
Date
CAP Adjustment Amount
Adjusted CAP
Reason for Adjustment
09/30/2009
$
(10,000)
$
20,000 Updated portfolio data from servicer/additional program initial cap
12/30/2009
$
590,000
$
610,000 Updated portfolio data from servicer/additional program initial cap
03/26/2010
$
(580,000)
$
30,000 Updated portfolio data from servicer
07/14/2010
$
70,000
$
100,000 Updated portfolio data from servicer
09/30/2010
$
45,056
$
145,056 Updated portfolio data from servicer
02/17/2011
$
(145,056)
10/02/2009
$
1,310,000
$
7,310,000 Updated portfolio data from servicer/additional program initial cap
12/30/2009
$
(3,390,000)
$
3,920,000 Updated portfolio data from servicer/additional program initial cap
03/26/2010
$
410,000
$
4,330,000 Updated portfolio data from servicer
07/14/2010
$
(730,000)
$
3,600,000 Updated portfolio data from servicer
09/15/2010
$
4,700,000
$
8,300,000 Transfer of cap due to servicing transfer
09/30/2010
$
117,764
$
11/16/2010
$
800,000
$
9,217,764 Transfer of cap due to servicing transfer
12/15/2010
$
2,700,000
$
11,917,764 Transfer of cap due to servicing transfer
01/06/2011
$
(17)
$
11,917,747 Updated due to quarterly assessment and reallocation
- Termination of SPA
8,417,764 Updated portfolio data from servicer
01/13/2011
$
700,000
$
12,617,747 Transfer of cap due to servicing transfer
02/16/2011
$
1,800,000
$
14,417,747 Transfer of cap due to servicing transfer
03/30/2011
$
(19)
$
14,417,728 Updated due to quarterly assessment and reallocation
04/13/2011
$
300,000
$
14,717,728 Transfer of cap due to servicing transfer
06/29/2011
$
(189)
$
14,717,539 Updated due to quarterly assessment and reallocation
08/16/2011
$
300,000
$
15,017,539 Transfer of cap due to servicing transfer
09/15/2011
$
100,000
$
15,117,539 Transfer of cap due to servicing transfer
10/14/2011
$
100,000
$
15,217,539 Transfer of cap due to servicing transfer
06/28/2012
$
(147)
$
15,217,392 Updated due to quarterly assessment and reallocation
07/16/2012
$
(10,000)
$
15,207,392 Transfer of cap due to servicing transfer
09/27/2012
$
(413)
$
15,206,979 Updated due to quarterly assessment and reallocation
11/15/2012
$
(40,000)
$
15,166,979 Transfer of cap due to servicing transfer
12/27/2012
$
(71)
$
15,166,908 Updated due to quarterly assessment and reallocation
02/14/2013
$
(770,000)
$
14,396,908 Transfer of cap due to servicing transfer
03/14/2013
$
(20,000)
$
14,376,908 Transfer of cap due to servicing transfer
03/25/2013
$
(256)
$
14,376,652 Updated due to quarterly assessment and reallocation
04/16/2013
$
(620,000)
$
13,756,652 Transfer of cap due to servicing transfer
05/16/2013
$
40,000
$
13,796,652 Transfer of cap due to servicing transfer
06/14/2013
$
10,000
$
13,806,652 Transfer of cap due to servicing transfer
06/27/2013
$
(95)
$
13,806,557 Updated due to quarterly assessment and reallocation
07/16/2013
$
(290,000)
$
13,516,557 Transfer of cap due to servicing transfer
09/27/2013
$
(34)
$
13,516,523 Updated due to quarterly assessment and reallocation
12/16/2013
$
40,000
$
13,556,523 Transfer of cap due to servicing transfer
12/23/2013
$
(57,271)
$
13,499,252 Updated due to quarterly assessment and reallocation
02/13/2014
$
(90,000)
$
13,409,252 Transfer of cap due to servicing transfer
03/14/2014
$
(40,000)
$
13,369,252 Transfer of cap due to servicing transfer
03/26/2014
$
(1,989)
$
13,367,263 Updated due to quarterly assessment and reallocation
04/16/2014
$
80,000
$
13,447,263 Transfer of cap due to servicing transfer
05/15/2014
$
(230,000)
$
13,217,263 Transfer of cap due to servicing transfer
06/16/2014
$
100,000
$
13,317,263 Transfer of cap due to servicing transfer
06/26/2014
$
(23,438)
$
13,293,825 Updated due to quarterly assessment and reallocation
07/16/2014
$
1,210,000
$
14,503,825 Transfer of cap due to servicing transfer
07/29/2014
$
(51,728)
$
14,452,097 Updated due to quarterly assessment and reallocation
09/29/2014
$
(17,168)
$
14,434,929 Updated due to quarterly assessment and reallocation
10/16/2014
$
500,000
$
14,934,929 Transfer of cap due to servicing transfer
11/14/2014
$
(10,000)
$
14,924,929 Transfer of cap due to servicing transfer
12/29/2014
$
(2,097,962)
$
12,826,967 Updated due to quarterly assessment and reallocation
03/26/2015
$
(789,030)
$
12,037,937 Updated due to quarterly assessment and reallocation
04/28/2015
$
(3,110,011)
$
8,927,926 Updated due to quarterly assessment and reallocation
06/25/2015
$
(735,363)
$
8,192,563 Updated due to quarterly assessment and reallocation
07/16/2015
$
(230,000)
$
7,962,563 Transfer of cap due to servicing transfer
08/14/2015
$
(970,000)
$
6,992,563 Transfer of cap due to servicing transfer
09/16/2015
$
(370,000)
$
6,622,563 Transfer of cap due to servicing transfer
09/28/2015
$
(898,229)
$
5,724,334 Updated due to quarterly assessment and reallocation
10/15/2015
$
590,000
$
6,314,334 Transfer of cap due to servicing transfer
12/16/2015
$
10,000
$
6,324,334 Transfer of cap due to servicing transfer
12/28/2015
$
(774,973)
$
5,549,361 Updated due to quarterly assessment and reallocation
01/14/2016
$
(20,000)
$
5,529,361 Transfer of cap due to servicing transfer
02/25/2016
$
(2,262,695)
$
3,266,666 Reallocation due to MHA program deobligation
03/16/2016
$
190,000
$
3,456,666 Transfer of cap due to servicing transfer
03/28/2016
$
(52,053)
$
3,404,613 Updated due to quarterly assessment and reallocation
05/16/2016
$
70,000
$
3,474,613 Transfer of cap due to servicing transfer
81
Servicer Modifying Borrowers' Loans
Date
Name of Institution
03/16/2015 Colorado Federal Savings Bank
05/15/2014 Columbia Bank
12/04/2009
Community Bank & Trust
Company
City
Greenwood
Village
Fair Lawn
Clarks Summit
Adjustment Details
State
CO
NJ
PA
Transaction
Type
Purchase
Purchase
Purchase
Investment Description
Cap of Incentive Payments on
Behalf of Borrowers and to
Servicers & Lenders/Investors
(Cap) *
Financial Instrument for Home Loan Modifications
- N/A
Financial Instrument for Home Loan Modifications
Financial Instrument for Home Loan Modifications
Pricing
Mechanism
- N/A
$
380,000 N/A
Note
3
3
Adjustment
Date
CAP Adjustment Amount
Adjusted CAP
Reason for Adjustment
05/31/2016
$
(422,197)
$
3,052,416 Updated due to quarterly assessment and reallocation
06/16/2016
$
290,000
$
3,342,416 Transfer of cap due to servicing transfer
06/27/2016
$
(291,214)
$
3,051,202 Updated due to quarterly assessment and reallocation
07/27/2016
$
(291,302)
$
2,759,900 Updated due to quarterly assessment and reallocation
09/15/2016
$
640,000
$
3,399,900 Transfer of cap due to servicing transfer
09/28/2016
$
(761,286)
$
2,638,614 Updated due to quarterly assessment and reallocation
10/25/2016
$
(719,364)
$
1,919,250 Updated due to quarterly assessment and reallocation
11/07/2016
$
277,340
$
2,196,590 Updated due to quarterly assessment and reallocation
11/29/2016
$
(5,640)
$
2,190,950 Updated due to quarterly assessment and reallocation
12/15/2016
$
10,000
$
2,200,950 Transfer of cap due to servicing transfer
12/27/2016
$
(873)
$
2,200,077 Transfer of cap due to servicing transfer
02/27/2017
$
(15,146)
$
2,184,931 Transfer of cap due to servicing transfer
04/26/2017
$
(993)
$
2,183,938 Transfer of cap due to servicing transfer
06/26/2017
$
(7,547)
$
2,176,391 Transfer of cap due to servicing transfer
07/26/2017
$
(228)
$
2,176,163 Updated due to quarterly assessment and reallocation
09/26/2017
$
(239,456)
$
1,936,707 Transfer of cap due to servicing transfer
10/26/2017
$
(29,696)
$
1,907,011 Transfer of cap due to servicing transfer
12/21/2017
$
(28,971)
$
1,878,040 Transfer of cap due to servicing transfer
03/16/2015
$
70,000
$
70,000 Transfer of cap due to servicing transfer
10/15/2015
$
10,000
$
80,000 Transfer of cap due to servicing transfer
11/16/2015
$
240,000
$
320,000 Transfer of cap due to servicing transfer
12/28/2015
$
(35,915)
$
284,085 Updated due to quarterly assessment and reallocation
02/16/2016
$
(10,000)
$
274,085 Transfer of cap due to servicing transfer
02/25/2016
$
(96,994)
$
177,091 Reallocation due to MHA program deobligation
03/16/2016
$
10,000
$
187,091 Transfer of cap due to servicing transfer
03/28/2016
$
(2,289)
$
184,802 Updated due to quarterly assessment and reallocation
05/31/2016
$
(17,915)
$
166,887 Updated due to quarterly assessment and reallocation
06/27/2016
$
(10,702)
$
156,185 Updated due to quarterly assessment and reallocation
07/27/2016
$
(10,705)
$
145,480 Updated due to quarterly assessment and reallocation
09/28/2016
$
(18,721)
$
126,759 Updated due to quarterly assessment and reallocation
10/25/2016
$
(17,691)
$
109,068 Updated due to quarterly assessment and reallocation
11/07/2016
$
6,821
$
115,889 Updated due to quarterly assessment and reallocation
11/29/2016
$
(122)
$
115,767 Updated due to quarterly assessment and reallocation
12/27/2016
$
(19)
$
115,748 Transfer of cap due to servicing transfer
02/27/2017
$
(324)
$
115,424 Transfer of cap due to servicing transfer
04/26/2017
$
(21)
$
115,403 Transfer of cap due to servicing transfer
06/26/2017
$
(163)
$
115,240 Transfer of cap due to servicing transfer
07/26/2017
$
(5)
$
115,235 Updated due to quarterly assessment and reallocation
09/26/2017
$
(6,519)
$
108,716 Transfer of cap due to servicing transfer
10/26/2017
$
(808)
$
12/21/2017
$
(842)
$
107,066 Transfer of cap due to servicing transfer
05/15/2014
$
160,000
$
160,000 Transfer of cap due to servicing transfer
06/26/2014
$
(72)
$
159,928 Updated due to quarterly assessment and reallocation
07/29/2014
$
(143)
$
159,785 Updated due to quarterly assessment and reallocation
09/29/2014
$
(47)
$
159,738 Updated due to quarterly assessment and reallocation
12/29/2014
$
35,609
$
195,347 Updated due to quarterly assessment and reallocation
12/28/2015
$
(1,841)
$
193,506 Updated due to quarterly assessment and reallocation
02/25/2016
$
(11,344)
$
182,162 Reallocation due to MHA program deobligation
03/28/2016
$
(240)
$
181,922 Updated due to quarterly assessment and reallocation
05/31/2016
$
(1,896)
$
180,026 Updated due to quarterly assessment and reallocation
06/27/2016
$
(1,164)
$
178,862 Updated due to quarterly assessment and reallocation
07/27/2016
$
(1,201)
$
177,661 Updated due to quarterly assessment and reallocation
09/28/2016
$
(2,222)
$
175,439 Updated due to quarterly assessment and reallocation
10/25/2016
$
(2,165)
$
173,274 Updated due to quarterly assessment and reallocation
11/07/2016
$
835
$
174,109 Updated due to quarterly assessment and reallocation
11/29/2016
$
(131)
$
173,978 Updated due to quarterly assessment and reallocation
12/27/2016
$
(20)
$
173,958 Transfer of cap due to servicing transfer
02/27/2017
$
(348)
$
173,610 Transfer of cap due to servicing transfer
03/16/2017
$
40,000
$
213,610 Transfer of cap due to servicing transfer
04/26/2017
$
(70)
$
213,540 Transfer of cap due to servicing transfer
06/26/2017
$
(540)
$
213,000 Transfer of cap due to servicing transfer
07/26/2017
$
(16)
$
212,984 Updated due to quarterly assessment and reallocation
09/26/2017
$
(17,465)
$
195,519 Transfer of cap due to servicing transfer
10/26/2017
$
(2,166)
$
193,353 Transfer of cap due to servicing transfer
12/21/2017
$
(2,256)
$
191,097 Transfer of cap due to servicing transfer
01/22/2010
$
10,000
$
390,000 Updated portfolio data from servicer/additional program initial cap
03/26/2010
$
520,000
$
910,000 Updated portfolio data from servicer
07/14/2010
$
(810,000)
$
100,000 Updated portfolio data from servicer
09/30/2010
$
45,056
$
145,056 Updated portfolio data from servicer
107,908 Transfer of cap due to servicing transfer
82
Servicer Modifying Borrowers' Loans
Date
Name of Institution
Community Credit Union of
09/30/2010
Florida
City
Rockledge
Adjustment Details
State
FL
Transaction
Type
Purchase
Investment Description
Financial Instrument for Home Loan Modifications
Cap of Incentive Payments on
Behalf of Borrowers and to
Servicers & Lenders/Investors
(Cap) *
$
Pricing
Mechanism
Note
2,000,000 N/A
6
09/30/2010 CU Mortgage Services, Inc.
12/16/2013 Desjardins Bank N.A.
01/15/2010 Digital Federal Credit Union
04/24/2009
Ditech Financial LLC (Green
Tree Servicing LLC)
New Brighton
MN
Hallandale
Beach
FL
Marlborough
MA
Saint Paul
MN
Purchase
Purchase
Purchase
Purchase
Financial Instrument for Home Loan Modifications
$
Financial Instrument for Home Loan Modifications
Financial Instrument for Home Loan Modifications
Financial Instrument for Home Loan Modifications
100,000 N/A
- N/A
$
$
3,050,000 N/A
156,000,000 N/A
3
Adjustment
Date
CAP Adjustment Amount
Adjusted CAP
Reason for Adjustment
06/29/2011
$
(1)
$
145,055 Updated due to quarterly assessment and reallocation
06/28/2012
$
(1)
$
145,054 Updated due to quarterly assessment and reallocation
09/27/2012
$
(2)
$
145,052 Updated due to quarterly assessment and reallocation
03/25/2013
$
(1)
$
145,051 Updated due to quarterly assessment and reallocation
12/23/2013
$
(232)
$
144,819 Updated due to quarterly assessment and reallocation
03/26/2014
$
(8)
$
144,811 Updated due to quarterly assessment and reallocation
06/26/2014
$
(96)
$
144,715 Updated due to quarterly assessment and reallocation
07/29/2014
$
(191)
$
144,524 Updated due to quarterly assessment and reallocation
08/26/2014
$
(144,524)
09/30/2010
$
901,112
$
2,901,112 Updated portfolio data from servicer
01/06/2011
$
(4)
$
2,901,108 Updated due to quarterly assessment and reallocation
03/30/2011
$
(5)
$
2,901,103 Updated due to quarterly assessment and reallocation
06/29/2011
$
(48)
$
2,901,055 Updated due to quarterly assessment and reallocation
06/28/2012
$
(36)
$
2,901,019 Updated due to quarterly assessment and reallocation
09/14/2012
$
(2,888,387)
$
09/30/2010
$
45,056
$
145,056 Updated portfolio data from servicer
06/29/2011
$
(1)
- Termination of SPA
12,632 Termination of SPA
$
145,055 Updated due to quarterly assessment and reallocation
06/28/2012
$
(1)
$
145,054 Updated due to quarterly assessment and reallocation
09/27/2012
$
(2)
$
145,052 Updated due to quarterly assessment and reallocation
03/25/2013
$
(1)
$
145,051 Updated due to quarterly assessment and reallocation
12/23/2013
$
(232)
$
144,819 Updated due to quarterly assessment and reallocation
03/26/2014
$
(8)
$
144,811 Updated due to quarterly assessment and reallocation
06/26/2014
$
(96)
$
144,715 Updated due to quarterly assessment and reallocation
07/29/2014
$
(191)
$
144,524 Updated due to quarterly assessment and reallocation
09/29/2014
$
(63)
$
144,461 Updated due to quarterly assessment and reallocation
12/29/2014
$
(7,654)
$
136,807 Updated due to quarterly assessment and reallocation
03/26/2015
$
(2,879)
$
133,928 Updated due to quarterly assessment and reallocation
04/28/2015
$
(11,347)
$
122,581 Updated due to quarterly assessment and reallocation
06/25/2015
$
(2,691)
$
119,890 Updated due to quarterly assessment and reallocation
09/28/2015
$
(3,595)
$
116,295 Updated due to quarterly assessment and reallocation
12/28/2015
$
(2,660)
$
113,635 Updated due to quarterly assessment and reallocation
02/25/2016
$
(7,597)
$
106,038 Reallocation due to MHA program deobligation
03/28/2016
$
(159)
$
105,879 Updated due to quarterly assessment and reallocation
05/31/2016
$
(1,242)
$
104,637 Updated due to quarterly assessment and reallocation
06/27/2016
$
(742)
$
103,895 Updated due to quarterly assessment and reallocation
07/27/2016
$
(742)
$
103,153 Updated due to quarterly assessment and reallocation
09/28/2016
$
(1,298)
$
101,855 Updated due to quarterly assessment and reallocation
10/25/2016
$
(1,226)
$
100,629 Updated due to quarterly assessment and reallocation
11/07/2016
$
472
$
101,101 Updated due to quarterly assessment and reallocation
11/29/2016
$
(8)
$
101,093 Updated due to quarterly assessment and reallocation
12/27/2016
$
(1)
$
101,092 Transfer of cap due to servicing transfer
02/27/2017
$
(22)
$
101,070 Transfer of cap due to servicing transfer
04/26/2017
$
(1)
$
101,069 Transfer of cap due to servicing transfer
06/26/2017
$
(11)
$
101,058 Transfer of cap due to servicing transfer
07/14/2017
$
(101,058)
12/16/2013
$
30,000
$
30,000 Transfer of cap due to servicing transfer
09/16/2014
$
10,000
$
40,000 Transfer of cap due to servicing transfer
03/26/2010
$
12,190,000
$
15,240,000 Updated portfolio data from servicer
05/14/2010
$
(15,240,000)
06/17/2009
$
(64,990,000)
$
91,010,000 Updated portfolio data from servicer
09/30/2009
- Termination of SPA
- Termination of SPA
$
130,780,000
$
221,790,000 Updated portfolio data from servicer/additional program initial cap
12/30/2009
$
(116,750,000)
$
105,040,000 Updated portfolio data from servicer/additional program initial cap
03/26/2010
$
13,080,000
$
118,120,000 Updated portfolio data from servicer
07/14/2010
$
(24,220,000)
$
93,900,000 Updated portfolio data from servicer
07/16/2010
$
210,000
$
94,110,000 Transfer of cap due to servicing transfer
08/13/2010
$
2,200,000
$
09/10/2010
$
34,600,000
$
130,910,000 Updated portfolio data from servicer/additional program initial cap
09/30/2010
$
5,600,000
$
136,510,000 Updated portfolio data from servicer/additional program initial cap
09/30/2010
$
10,185,090
$
146,695,090 Updated portfolio data from servicer
10/15/2010
$
400,000
$
147,095,090 Transfer of cap due to servicing transfer
01/06/2011
$
(213)
$
147,094,877 Updated due to quarterly assessment and reallocation
03/30/2011
$
(250)
$
147,094,627 Updated due to quarterly assessment and reallocation
05/13/2011
$
1,200,000
$
148,294,627 Transfer of cap due to servicing transfer
06/16/2011
$
100,000
$
148,394,627 Transfer of cap due to servicing transfer
06/29/2011
$
(2,302)
$
148,392,325 Updated due to quarterly assessment and reallocation
07/14/2011
$
1,900,000
$
150,292,325 Transfer of cap due to servicing transfer
09/15/2011
$
200,000
$
150,492,325 Transfer of cap due to servicing transfer
10/14/2011
$
200,000
$
150,692,325 Transfer of cap due to servicing transfer
11/16/2011
$
400,000
$
151,092,325 Transfer of cap due to servicing transfer
96,310,000 Transfer of cap due to servicing transfer
83
Servicer Modifying Borrowers' Loans
Date
Name of Institution
City
Adjustment Details
State
Transaction
Type
Investment Description
Cap of Incentive Payments on
Behalf of Borrowers and to
Servicers & Lenders/Investors
(Cap) *
Pricing
Mechanism
Note
Adjustment
Date
CAP Adjustment Amount
Adjusted CAP
Reason for Adjustment
02/16/2012
$
900,000
$
151,992,325 Transfer of cap due to servicing transfer
03/15/2012
$
100,000
$
152,092,325 Transfer of cap due to servicing transfer
05/16/2012
$
3,260,000
$
155,352,325 Transfer of cap due to servicing transfer
06/14/2012
$
920,000
$
156,272,325 Transfer of cap due to servicing transfer
06/28/2012
$
(1,622)
$
156,270,703 Updated due to quarterly assessment and reallocation
07/16/2012
$
110,000
$
156,380,703 Transfer of cap due to servicing transfer
08/16/2012
$
5,120,000
$
161,500,703 Transfer of cap due to servicing transfer
09/27/2012
$
(4,509)
$
161,496,194 Updated due to quarterly assessment and reallocation
10/16/2012
$
8,810,000
$
170,306,194 Transfer of cap due to servicing transfer
11/15/2012
$
2,910,000
$
173,216,194 Transfer of cap due to servicing transfer
12/27/2012
$
(802)
$
173,215,392 Updated due to quarterly assessment and reallocation
02/14/2013
$
10,210,000
$
183,425,392 Transfer of cap due to servicing transfer
03/25/2013
$
(3,023)
$
183,422,369 Updated due to quarterly assessment and reallocation
05/16/2013
$
140,000
$
183,562,369 Transfer of cap due to servicing transfer
06/27/2013
$
(1,077)
$
183,561,292 Updated due to quarterly assessment and reallocation
07/16/2013
$
7,210,000
$
190,771,292 Transfer of cap due to servicing transfer
08/15/2013
$
6,730,000
$
197,501,292 Transfer of cap due to servicing transfer
09/27/2013
$
(388)
$
197,500,904 Updated due to quarterly assessment and reallocation
10/15/2013
$
3,610,000
$
201,110,904 Transfer of cap due to servicing transfer
11/14/2013
$
(320,000)
$
200,790,904 Transfer of cap due to servicing transfer
12/16/2013
$
21,280,000
$
222,070,904 Transfer of cap due to servicing transfer
12/23/2013
$
(710,351)
$
221,360,553 Updated due to quarterly assessment and reallocation
02/13/2014
$
1,700,000
$
223,060,553 Transfer of cap due to servicing transfer
03/26/2014
$
(22,400)
$
223,038,153 Updated due to quarterly assessment and reallocation
04/16/2014
$
2,280,000
$
225,318,153 Transfer of cap due to servicing transfer
05/15/2014
$
12,810,000
$
238,128,153 Transfer of cap due to servicing transfer
06/16/2014
$
(2,000,000)
$
236,128,153 Transfer of cap due to servicing transfer
06/26/2014
$
(262,535)
$
235,865,618 Updated due to quarterly assessment and reallocation
07/16/2014
$
130,000
$
235,995,618 Transfer of cap due to servicing transfer
07/29/2014
$
(499,786)
$
235,495,832 Updated due to quarterly assessment and reallocation
08/14/2014
$
(1,940,000)
$
233,555,832 Transfer of cap due to servicing transfer
09/16/2014
$
380,000
$
233,935,832 Transfer of cap due to servicing transfer
09/29/2014
$
(150,666)
$
233,785,166 Updated due to quarterly assessment and reallocation
10/16/2014
$
(1,120,000)
$
232,665,166 Transfer of cap due to servicing transfer
11/14/2014
$
760,000
$
233,425,166 Transfer of cap due to servicing transfer
12/16/2014
$
5,910,000
$
239,335,166 Transfer of cap due to servicing transfer
12/29/2014
$
(10,171,749)
$
229,163,417 Updated due to quarterly assessment and reallocation
01/15/2015
$
(770,000)
$
228,393,417 Transfer of cap due to servicing transfer
02/13/2015
$
6,000,000
$
234,393,417 Transfer of cap due to servicing transfer
03/16/2015
$
(1,400,000)
$
232,993,417 Transfer of cap due to servicing transfer
03/26/2015
$
(2,999,340)
$
229,994,077 Updated due to quarterly assessment and reallocation
04/16/2015
$
(1,440,000)
$
228,554,077 Transfer of cap due to servicing transfer
04/28/2015
$
406,883,574
$
635,437,651 Updated due to quarterly assessment and reallocation
05/14/2015
$
3,840,000
$
639,277,651 Transfer of cap due to servicing transfer
06/25/2015
$
1,933,295
$
641,210,946 Updated due to quarterly assessment and reallocation
07/16/2015
$
6,480,000
$
647,690,946 Transfer of cap due to servicing transfer
08/14/2015
$
160,000
$
647,850,946 Transfer of cap due to servicing transfer
09/16/2015
$
(730,000)
$
647,120,946 Transfer of cap due to servicing transfer
09/28/2015
$
1,314,631
$
648,435,577 Updated due to quarterly assessment and reallocation
11/16/2015
$
(30,000)
$
648,405,577 Transfer of cap due to servicing transfer
12/16/2015
$
(1,800,000)
$
646,605,577 Transfer of cap due to servicing transfer
12/28/2015
$
(491,522)
$
646,114,055 Updated due to quarterly assessment and reallocation
01/14/2016
$
(10,000)
$
646,104,055 Transfer of cap due to servicing transfer
02/16/2016
$
(2,820,000)
$
643,284,055 Transfer of cap due to servicing transfer
02/25/2016
$
(57,817,969)
$
585,466,086 Reallocation due to MHA program deobligation
03/16/2016
$
1,530,000
$
586,996,086 Transfer of cap due to servicing transfer
03/28/2016
$
(1,385,279)
$
585,610,807 Updated due to quarterly assessment and reallocation
04/14/2016
$
3,860,000
$
589,470,807 Transfer of cap due to servicing transfer
05/16/2016
$
(1,540,000)
$
587,930,807 Transfer of cap due to servicing transfer
05/31/2016
$
(11,376,624)
$
576,554,183 Updated due to quarterly assessment and reallocation
06/16/2016
$
(5,780,000)
$
570,774,183 Transfer of cap due to servicing transfer
06/27/2016
$
(8,966,552)
$
561,807,631 Updated due to quarterly assessment and reallocation
07/14/2016
$
(6,540,000)
$
555,267,631 Transfer of cap due to servicing transfer
07/27/2016
$
(9,573,183)
$
545,694,448 Updated due to quarterly assessment and reallocation
08/16/2016
$
4,150,000
$
549,844,448 Transfer of cap due to servicing transfer
09/15/2016
$
1,480,000
$
551,324,448 Transfer of cap due to servicing transfer
09/28/2016
$
(17,931,672)
$
533,392,776 Updated due to quarterly assessment and reallocation
10/14/2016
$
(4,370,000)
$
529,022,776 Transfer of cap due to servicing transfer
10/25/2016
$
(18,522,234)
$
510,500,542 Updated due to quarterly assessment and reallocation
84
Servicer Modifying Borrowers' Loans
Date
Name of Institution
10/30/2009 DuPage Credit Union
03/16/2016 Eastern Bank
Eaton National Bank & Trust
12/23/2009
Company
07/31/2009 EMC Mortgage Corporation
City
Naperville
Adjustment Details
State
IL
Transaction
Type
Purchase
Investment Description
Financial Instrument for Home Loan Modifications
Boston
MA
Purchase
Financial Instrument for Home Loan Modifications
Eaton
OH
Purchase
Financial Instrument for Home Loan Modifications
Lewisville
TX
Purchase
Financial Instrument for Home Loan Modifications
Cap of Incentive Payments on
Behalf of Borrowers and to
Servicers & Lenders/Investors
(Cap) *
$
Pricing
Mechanism
70,000 N/A
- N/A
$
$
Note
60,000 N/A
707,380,000 N/A
3
Adjustment
Date
CAP Adjustment Amount
Adjusted CAP
Reason for Adjustment
11/07/2016
$
7,140,972
$
517,641,514 Updated due to quarterly assessment and reallocation
11/16/2016
$
(590,000)
$
517,051,514 Transfer of cap due to servicing transfer
11/29/2016
$
(275,089)
$
516,776,425 Updated due to quarterly assessment and reallocation
12/15/2016
$
(2,470,000)
$
514,306,425 Transfer of cap due to servicing transfer
12/27/2016
$
(48,571)
$
514,257,854 Transfer of cap due to servicing transfer
01/13/2017
$
(1,120,000)
$
513,137,854 Transfer of cap due to servicing transfer
02/16/2017
$
(180,000)
$
512,957,854 Transfer of cap due to servicing transfer
02/27/2017
$
(958,939)
$
511,998,915 Transfer of cap due to servicing transfer
03/16/2017
$
(3,480,000)
$
508,518,915 Transfer of cap due to servicing transfer
04/26/2017
$
(74,352)
$
508,444,563 Transfer of cap due to servicing transfer
06/26/2017
$
(677,390)
$
507,767,173 Transfer of cap due to servicing transfer
07/26/2017
$
(21,896)
$
507,745,277 Updated due to quarterly assessment and reallocation
09/26/2017
$
(23,794,399)
$
483,950,878 Transfer of cap due to servicing transfer
10/26/2017
$
(4,685,746)
$
479,265,132 Transfer of cap due to servicing transfer
12/21/2017
$
(6,039,108)
$
473,226,024 Transfer of cap due to servicing transfer
01/22/2010
$
10,000
$
03/26/2010
$
10,000
$
90,000 Updated portfolio data from servicer
07/14/2010
$
10,000
$
100,000 Updated portfolio data from servicer
09/30/2010
$
45,056
$
145,056 Updated portfolio data from servicer
06/29/2011
$
(1)
$
145,055 Updated due to quarterly assessment and reallocation
09/27/2012
$
(1)
$
145,054 Updated due to quarterly assessment and reallocation
03/25/2013
$
(1)
$
145,053 Updated due to quarterly assessment and reallocation
12/23/2013
$
(145)
$
144,908 Updated due to quarterly assessment and reallocation
03/26/2014
$
(5)
$
144,903 Updated due to quarterly assessment and reallocation
06/26/2014
$
(59)
$
144,844 Updated due to quarterly assessment and reallocation
07/29/2014
$
(117)
$
144,727 Updated due to quarterly assessment and reallocation
09/29/2014
$
(39)
$
144,688 Updated due to quarterly assessment and reallocation
12/29/2014
$
(377)
$
144,311 Updated due to quarterly assessment and reallocation
03/26/2015
$
(142)
$
144,169 Updated due to quarterly assessment and reallocation
04/28/2015
$
73,328
$
217,497 Updated due to quarterly assessment and reallocation
09/28/2015
$
(2,259)
$
215,238 Updated due to quarterly assessment and reallocation
12/28/2015
$
(1,672)
$
213,566 Updated due to quarterly assessment and reallocation
02/25/2016
$
(11,493)
$
202,073 Reallocation due to MHA program deobligation
03/28/2016
$
(240)
$
201,833 Updated due to quarterly assessment and reallocation
05/31/2016
$
(1,879)
$
199,954 Updated due to quarterly assessment and reallocation
06/27/2016
$
(1,123)
$
198,831 Updated due to quarterly assessment and reallocation
07/27/2016
$
(1,123)
$
197,708 Updated due to quarterly assessment and reallocation
09/28/2016
$
(1,964)
$
195,744 Updated due to quarterly assessment and reallocation
10/25/2016
$
(1,855)
$
193,889 Updated due to quarterly assessment and reallocation
11/07/2016
$
715
$
194,604 Updated due to quarterly assessment and reallocation
11/29/2016
$
(95)
$
194,509 Updated due to quarterly assessment and reallocation
12/27/2016
$
(15)
$
194,494 Transfer of cap due to servicing transfer
02/27/2017
$
(253)
$
194,241 Transfer of cap due to servicing transfer
04/26/2017
$
(17)
$
194,224 Transfer of cap due to servicing transfer
06/26/2017
$
(127)
$
194,097 Transfer of cap due to servicing transfer
07/26/2017
$
(4)
$
194,093 Updated due to quarterly assessment and reallocation
09/26/2017
$
(494)
$
193,599 Transfer of cap due to servicing transfer
10/26/2017
$
(61)
$
193,538 Transfer of cap due to servicing transfer
12/21/2017
$
(64)
$
193,474 Transfer of cap due to servicing transfer
03/16/2016
$
20,000
$
03/26/2010
$
90,000
$
150,000 Updated portfolio data from servicer
80,000 Updated portfolio data from servicer/additional program initial cap
20,000 Transfer of cap due to servicing transfer
07/14/2010
$
50,000
$
200,000 Updated portfolio data from servicer
09/30/2010
$
(54,944)
$
145,056 Updated portfolio data from servicer
05/20/2011
$
(145,056)
09/30/2009
$
(10,000)
$
707,370,000 Updated portfolio data from servicer/additional program initial cap
12/30/2009
$
502,430,000
$
1,209,800,000 Updated portfolio data from servicer/additional program initial cap
03/26/2010
$
(134,560,000)
$
1,075,240,000 Updated portfolio data from servicer/additional program initial cap
07/14/2010
$
(392,140,000)
$
683,100,000 Updated portfolio data from servicer
07/16/2010
$
(630,000)
$
682,470,000 Transfer of cap due to servicing transfer
09/30/2010
$
13,100,000
$
695,570,000 Updated portfolio data from servicer/additional program initial cap
09/30/2010
$
(8,006,457)
$
687,563,543 Updated portfolio data from servicer
10/15/2010
$
(100,000)
$
687,463,543 Transfer of cap due to servicing transfer
12/15/2010
$
(4,400,000)
$
683,063,543 Transfer of cap due to servicing transfer
01/06/2011
$
(802)
$
683,062,741 Updated due to quarterly assessment and reallocation
02/16/2011
$
(900,000)
$
682,162,741 Transfer of cap due to servicing transfer
03/16/2011
$
(4,000,000)
$
678,162,741 Transfer of cap due to servicing transfer
03/30/2011
$
(925)
$
678,161,816 Updated due to quarterly assessment and reallocation
05/13/2011
$
(122,900,000)
$
555,261,816 Transfer of cap due to servicing transfer
06/29/2011
$
(8,728)
$
555,253,088 Updated due to quarterly assessment and reallocation
- Termination of SPA
85
Servicer Modifying Borrowers' Loans
Date
Name of Institution
07/16/2013 Everbank
07/17/2009 Farmers State Bank
09/03/2010 Fay Servicing, LLC
City
Jacksonville
West Salem
Chicago
Adjustment Details
State
FL
OH
IL
Transaction
Type
Purchase
Purchase
Purchase
Investment Description
Cap of Incentive Payments on
Behalf of Borrowers and to
Servicers & Lenders/Investors
(Cap) *
Financial Instrument for Home Loan Modifications
Financial Instrument for Home Loan Modifications
Financial Instrument for Home Loan Modifications
Pricing
Mechanism
- N/A
$
$
170,000 N/A
3,100,000 N/A
Note
Adjustment
Date
CAP Adjustment Amount
Adjusted CAP
Reason for Adjustment
07/14/2011
$
(600,000)
$
8
10/19/2011
$
(519,211,309)
$
3
07/16/2013
$
60,000
$
09/16/2014
$
30,000
$
90,000 Transfer of cap due to servicing transfer
08/14/2015
$
80,000
$
170,000 Transfer of cap due to servicing transfer
09/28/2015
$
(8,692)
$
161,308 Updated due to quarterly assessment and reallocation
12/28/2015
$
(10,008)
$
151,300 Updated due to quarterly assessment and reallocation
02/25/2016
$
(28,583)
$
122,717 Reallocation due to MHA program deobligation
03/28/2016
$
(597)
$
122,120 Updated due to quarterly assessment and reallocation
05/31/2016
$
(4,673)
$
117,447 Updated due to quarterly assessment and reallocation
06/27/2016
$
(2,792)
$
114,655 Updated due to quarterly assessment and reallocation
07/27/2016
$
(2,792)
$
111,863 Updated due to quarterly assessment and reallocation
09/28/2016
$
(4,883)
$
106,980 Updated due to quarterly assessment and reallocation
10/25/2016
$
(4,615)
$
102,365 Updated due to quarterly assessment and reallocation
11/07/2016
$
1,779
$
104,144 Updated due to quarterly assessment and reallocation
11/29/2016
$
(32)
$
104,112 Updated due to quarterly assessment and reallocation
12/27/2016
$
(5)
$
104,107 Transfer of cap due to servicing transfer
02/27/2017
$
(85)
$
104,022 Transfer of cap due to servicing transfer
04/26/2017
$
(6)
$
104,016 Transfer of cap due to servicing transfer
06/26/2017
$
(43)
$
103,973 Transfer of cap due to servicing transfer
07/26/2017
$
(1)
$
103,972 Updated due to quarterly assessment and reallocation
09/26/2017
$
(1,700)
$
102,272 Transfer of cap due to servicing transfer
10/26/2017
$
(211)
$
102,061 Transfer of cap due to servicing transfer
12/21/2017
$
(219)
$
101,842 Transfer of cap due to servicing transfer
09/30/2009
$
(90,000)
$
80,000 Updated portfolio data from servicer/additional program initial cap
12/30/2009
$
50,000
$
130,000 Updated portfolio data from servicer/additional program initial cap
554,653,088 Transfer of cap due to servicing transfer
35,441,779 Termination of SPA
60,000 Transfer of cap due to servicing transfer
03/26/2010
$
100,000
$
230,000 Updated portfolio data from servicer
07/14/2010
$
(130,000)
$
100,000 Updated portfolio data from servicer
09/30/2010
$
45,056
$
145,056 Updated portfolio data from servicer
05/20/2011
$
(145,056)
09/30/2010
$
5,168,169
$
8,268,169 Updated portfolio data from servicer
01/06/2011
$
(12)
$
8,268,157 Updated due to quarterly assessment and reallocation
03/30/2011
$
(15)
$
8,268,142 Updated due to quarterly assessment and reallocation
04/13/2011
$
400,000
$
8,668,142 Transfer of cap due to servicing transfer
06/29/2011
$
(143)
$
8,667,999 Updated due to quarterly assessment and reallocation
09/15/2011
$
700,000
$
9,367,999 Transfer of cap due to servicing transfer
10/14/2011
$
100,000
$
9,467,999 Transfer of cap due to servicing transfer
11/16/2011
$
200,000
$
9,667,999 Transfer of cap due to servicing transfer
12/15/2011
$
1,700,000
$
11,367,999 Transfer of cap due to servicing transfer
04/16/2012
$
1,600,000
$
12,967,999 Transfer of cap due to servicing transfer
05/16/2012
$
40,000
$
13,007,999 Transfer of cap due to servicing transfer
06/14/2012
$
(210,000)
$
12,797,999 Transfer of cap due to servicing transfer
06/28/2012
$
(105)
$
12,797,894 Updated due to quarterly assessment and reallocation
07/16/2012
$
50,000
$
12,847,894 Transfer of cap due to servicing transfer
08/16/2012
$
90,000
$
12,937,894 Transfer of cap due to servicing transfer
09/27/2012
$
(294)
$
12,937,600 Updated due to quarterly assessment and reallocation
10/16/2012
$
1,810,000
$
14,747,600 Transfer of cap due to servicing transfer
12/27/2012
$
(61)
$
14,747,539 Updated due to quarterly assessment and reallocation
01/16/2013
$
30,000
$
14,777,539 Transfer of cap due to servicing transfer
02/14/2013
$
(590,000)
$
14,187,539 Transfer of cap due to servicing transfer
03/14/2013
$
(80,000)
$
14,107,539 Transfer of cap due to servicing transfer
03/25/2013
$
(214)
$
14,107,325 Updated due to quarterly assessment and reallocation
04/16/2013
$
200,000
$
14,307,325 Transfer of cap due to servicing transfer
05/16/2013
$
3,710,000
$
18,017,325 Transfer of cap due to servicing transfer
06/14/2013
$
1,760,000
$
19,777,325 Transfer of cap due to servicing transfer
06/27/2013
$
(86)
$
19,777,239 Updated due to quarterly assessment and reallocation
07/16/2013
$
6,650,000
$
26,427,239 Transfer of cap due to servicing transfer
08/15/2013
$
20,000
$
26,447,239 Transfer of cap due to servicing transfer
09/16/2013
$
4,840,000
$
31,287,239 Transfer of cap due to servicing transfer
09/27/2013
$
(54)
$
31,287,185 Updated due to quarterly assessment and reallocation
10/15/2013
$
720,000
$
32,007,185 Transfer of cap due to servicing transfer
11/14/2013
$
1,040,000
$
33,047,185 Transfer of cap due to servicing transfer
12/16/2013
$
140,000
$
33,187,185 Transfer of cap due to servicing transfer
12/23/2013
$
(84,376)
$
33,102,809 Updated due to quarterly assessment and reallocation
01/16/2014
$
8,350,000
$
41,452,809 Transfer of cap due to servicing transfer
02/13/2014
$
5,890,000
$
47,342,809 Transfer of cap due to servicing transfer
03/14/2014
$
5,720,000
$
53,062,809 Transfer of cap due to servicing transfer
03/26/2014
$
(4,045)
$
53,058,764 Updated due to quarterly assessment and reallocation
04/16/2014
$
70,000
$
53,128,764 Transfer of cap due to servicing transfer
- Termination of SPA
86
Servicer Modifying Borrowers' Loans
Date
Name of Institution
05/13/2011 FCI Lender Services, Inc.
City
Anaheim Hills
Adjustment Details
State
CA
Transaction
Type
Purchase
Investment Description
Financial Instrument for Home Loan Modifications
Cap of Incentive Payments on
Behalf of Borrowers and to
Servicers & Lenders/Investors
(Cap) *
Pricing
Mechanism
- N/A
Note
3
Adjustment
Date
CAP Adjustment Amount
Adjusted CAP
Reason for Adjustment
05/15/2014
$
640,000
$
53,768,764 Transfer of cap due to servicing transfer
06/16/2014
$
15,780,000
$
69,548,764 Transfer of cap due to servicing transfer
06/26/2014
$
(69,560)
$
69,479,204 Updated due to quarterly assessment and reallocation
07/16/2014
$
(290,000)
$
69,189,204 Transfer of cap due to servicing transfer
07/29/2014
$
(138,184)
$
69,051,020 Updated due to quarterly assessment and reallocation
08/14/2014
$
990,000
$
70,041,020 Transfer of cap due to servicing transfer
09/16/2014
$
2,890,000
$
72,931,020 Transfer of cap due to servicing transfer
09/29/2014
$
(38,150)
$
72,892,870 Updated due to quarterly assessment and reallocation
10/16/2014
$
(1,830,000)
$
71,062,870 Transfer of cap due to servicing transfer
11/14/2014
$
5,980,000
$
77,042,870 Transfer of cap due to servicing transfer
12/16/2014
$
(5,930,000)
$
71,112,870 Transfer of cap due to servicing transfer
12/29/2014
$
(328,884)
$
70,783,986 Updated due to quarterly assessment and reallocation
01/15/2015
$
80,000
$
70,863,986 Transfer of cap due to servicing transfer
02/13/2015
$
1,530,000
$
72,393,986 Transfer of cap due to servicing transfer
03/16/2015
$
(770,000)
$
71,623,986 Transfer of cap due to servicing transfer
03/26/2015
$
1,070,605
$
72,694,591 Updated due to quarterly assessment and reallocation
04/16/2015
$
630,000
$
73,324,591 Transfer of cap due to servicing transfer
04/28/2015
$
(118,190)
$
73,206,401 Updated due to quarterly assessment and reallocation
05/14/2015
$
180,000
$
73,386,401 Transfer of cap due to servicing transfer
06/16/2015
$
530,000
$
73,916,401 Transfer of cap due to servicing transfer
06/25/2015
$
(179,814)
$
73,736,587 Updated due to quarterly assessment and reallocation
07/16/2015
$
(6,500,000)
$
67,236,587 Transfer of cap due to servicing transfer
08/14/2015
$
6,280,000
$
73,516,587 Transfer of cap due to servicing transfer
09/16/2015
$
1,750,000
$
75,266,587 Transfer of cap due to servicing transfer
09/28/2015
$
1,030,559
$
76,297,146 Updated due to quarterly assessment and reallocation
10/15/2015
$
5,310,000
$
81,607,146 Transfer of cap due to servicing transfer
11/16/2015
$
3,880,000
$
85,487,146 Transfer of cap due to servicing transfer
12/16/2015
$
3,920,000
$
89,407,146 Transfer of cap due to servicing transfer
12/28/2015
$
(1,157,968)
$
88,249,178 Updated due to quarterly assessment and reallocation
01/14/2016
$
7,400,000
$
95,649,178 Transfer of cap due to servicing transfer
02/16/2016
$
(740,000)
$
94,909,178 Transfer of cap due to servicing transfer
02/25/2016
$
(8,019,526)
$
86,889,652 Reallocation due to MHA program deobligation
03/16/2016
$
2,980,000
$
89,869,652 Transfer of cap due to servicing transfer
03/28/2016
$
(179,850)
$
89,689,802 Updated due to quarterly assessment and reallocation
04/14/2016
$
1,110,000
$
90,799,802 Transfer of cap due to servicing transfer
05/16/2016
$
1,530,000
$
92,329,802 Transfer of cap due to servicing transfer
05/31/2016
$
(1,164,291)
$
91,165,511 Updated due to quarterly assessment and reallocation
06/16/2016
$
3,050,000
$
94,215,511 Transfer of cap due to servicing transfer
06/27/2016
$
(603,048)
$
93,612,463 Updated due to quarterly assessment and reallocation
07/14/2016
$
(770,000)
$
92,842,463 Transfer of cap due to servicing transfer
07/27/2016
$
(552,076)
$
92,290,387 Updated due to quarterly assessment and reallocation
08/16/2016
$
680,000
$
92,970,387 Transfer of cap due to servicing transfer
09/15/2016
$
3,280,000
$
96,250,387 Transfer of cap due to servicing transfer
09/28/2016
$
949,770
$
97,200,157 Updated due to quarterly assessment and reallocation
10/14/2016
$
1,140,000
$
98,340,157 Transfer of cap due to servicing transfer
10/25/2016
$
(1,340,924)
$
11/07/2016
$
516,973
$
11/16/2016
$
2,700,000
$
100,216,206 Transfer of cap due to servicing transfer
11/29/2016
$
(59,781)
$
100,156,425 Updated due to quarterly assessment and reallocation
12/15/2016
$
240,000
$
100,396,425 Transfer of cap due to servicing transfer
12/27/2016
$
(9,384)
$
100,387,041 Transfer of cap due to servicing transfer
01/13/2017
$
3,010,000
$
103,397,041 Transfer of cap due to servicing transfer
02/16/2017
$
3,060,000
$
106,457,041 Transfer of cap due to servicing transfer
02/27/2017
$
(206,037)
$
106,251,004 Transfer of cap due to servicing transfer
03/16/2017
$
(20,000)
$
106,231,004 Transfer of cap due to servicing transfer
04/26/2017
$
(12,963)
$
106,218,041 Transfer of cap due to servicing transfer
06/26/2017
$
2,385,430
$
108,603,471 Transfer of cap due to servicing transfer
07/26/2017
$
493,176
$
109,096,647 Updated due to quarterly assessment and reallocation
09/26/2017
$
4,603,892
$
113,700,539 Transfer of cap due to servicing transfer
10/26/2017
$
3,252,805
$
116,953,344 Transfer of cap due to servicing transfer
12/21/2017
$
1,588,497
$
118,541,841 Transfer of cap due to servicing transfer
05/13/2011
$
500,000
$
500,000 Transfer of cap due to servicing transfer
06/16/2011
$
100,000
$
600,000 Transfer of cap due to servicing transfer
06/29/2011
$
(9)
$
599,991 Updated due to quarterly assessment and reallocation
07/14/2011
$
200,000
$
799,991 Transfer of cap due to servicing transfer
09/15/2011
$
100,000
$
899,991 Transfer of cap due to servicing transfer
11/16/2011
$
2,500,000
$
3,399,991 Transfer of cap due to servicing transfer
05/16/2012
$
1,510,000
$
4,909,991 Transfer of cap due to servicing transfer
06/14/2012
$
450,000
$
5,359,991 Transfer of cap due to servicing transfer
96,999,233 Updated due to quarterly assessment and reallocation
97,516,206 Updated due to quarterly assessment and reallocation
87
Servicer Modifying Borrowers' Loans
Date
Name of Institution
City
Adjustment Details
State
Transaction
Type
Investment Description
Cap of Incentive Payments on
Behalf of Borrowers and to
Servicers & Lenders/Investors
(Cap) *
Pricing
Mechanism
Note
Adjustment
Date
CAP Adjustment Amount
Adjusted CAP
Reason for Adjustment
06/28/2012
$
(66)
$
5,359,925 Updated due to quarterly assessment and reallocation
07/16/2012
$
250,000
$
5,609,925 Transfer of cap due to servicing transfer
08/16/2012
$
90,000
$
5,699,925 Transfer of cap due to servicing transfer
09/27/2012
$
(191)
$
5,699,734 Updated due to quarterly assessment and reallocation
10/16/2012
$
140,000
$
5,839,734 Transfer of cap due to servicing transfer
11/15/2012
$
70,000
$
5,909,734 Transfer of cap due to servicing transfer
12/14/2012
$
40,000
$
5,949,734 Transfer of cap due to servicing transfer
12/27/2012
$
(34)
$
5,949,700 Updated due to quarterly assessment and reallocation
01/16/2013
$
40,000
$
5,989,700 Transfer of cap due to servicing transfer
02/14/2013
$
50,000
$
6,039,700 Transfer of cap due to servicing transfer
03/14/2013
$
360,000
$
6,399,700 Transfer of cap due to servicing transfer
03/25/2013
$
(135)
$
6,399,565 Updated due to quarterly assessment and reallocation
04/16/2013
$
(10,000)
$
6,389,565 Transfer of cap due to servicing transfer
05/16/2013
$
40,000
$
6,429,565 Transfer of cap due to servicing transfer
06/14/2013
$
200,000
$
6,629,565 Transfer of cap due to servicing transfer
06/27/2013
$
(53)
$
6,629,512 Updated due to quarterly assessment and reallocation
07/16/2013
$
20,000
$
6,649,512 Transfer of cap due to servicing transfer
09/27/2013
$
(19)
$
6,649,493 Updated due to quarterly assessment and reallocation
10/15/2013
$
260,000
$
6,909,493 Transfer of cap due to servicing transfer
11/14/2013
$
30,000
$
6,939,493 Transfer of cap due to servicing transfer
12/23/2013
$
(33,755)
$
6,905,738 Updated due to quarterly assessment and reallocation
02/13/2014
$
110,000
$
7,015,738 Transfer of cap due to servicing transfer
03/14/2014
$
640,000
$
7,655,738 Transfer of cap due to servicing transfer
03/26/2014
$
(1,305)
$
7,654,433 Updated due to quarterly assessment and reallocation
04/16/2014
$
120,000
$
7,774,433 Transfer of cap due to servicing transfer
05/15/2014
$
40,000
$
7,814,433 Transfer of cap due to servicing transfer
06/16/2014
$
110,000
$
7,924,433 Transfer of cap due to servicing transfer
06/26/2014
$
(15,838)
$
7,908,595 Updated due to quarterly assessment and reallocation
07/16/2014
$
440,000
$
8,348,595 Transfer of cap due to servicing transfer
07/29/2014
$
(33,291)
$
8,315,304 Updated due to quarterly assessment and reallocation
08/14/2014
$
1,110,000
$
9,425,304 Transfer of cap due to servicing transfer
09/16/2014
$
40,000
$
9,465,304 Transfer of cap due to servicing transfer
09/29/2014
$
(12,454)
$
9,452,850 Updated due to quarterly assessment and reallocation
10/16/2014
$
20,000
$
9,472,850 Transfer of cap due to servicing transfer
11/14/2014
$
20,000
$
9,492,850 Transfer of cap due to servicing transfer
12/16/2014
$
190,000
$
9,682,850 Transfer of cap due to servicing transfer
12/29/2014
$
(1,564,671)
$
8,118,179 Updated due to quarterly assessment and reallocation
01/15/2015
$
10,000
$
8,128,179 Transfer of cap due to servicing transfer
02/13/2015
$
10,000
$
8,138,179 Transfer of cap due to servicing transfer
03/26/2015
$
(593,009)
$
7,545,170 Updated due to quarterly assessment and reallocation
04/28/2015
$
(2,341,121)
$
5,204,049 Updated due to quarterly assessment and reallocation
05/14/2015
$
50,000
$
5,254,049 Transfer of cap due to servicing transfer
06/16/2015
$
60,000
$
5,314,049 Transfer of cap due to servicing transfer
06/25/2015
$
(566,166)
$
4,747,883 Updated due to quarterly assessment and reallocation
07/16/2015
$
80,000
$
4,827,883 Transfer of cap due to servicing transfer
08/14/2015
$
220,000
$
5,047,883 Transfer of cap due to servicing transfer
09/16/2015
$
260,000
$
5,307,883 Transfer of cap due to servicing transfer
09/28/2015
$
(847,553)
$
4,460,330 Updated due to quarterly assessment and reallocation
10/15/2015
$
80,000
$
4,540,330 Transfer of cap due to servicing transfer
11/16/2015
$
420,000
$
4,960,330 Transfer of cap due to servicing transfer
12/16/2015
$
420,000
$
5,380,330 Transfer of cap due to servicing transfer
12/28/2015
$
(780,127)
$
4,600,203 Updated due to quarterly assessment and reallocation
01/14/2016
$
230,000
$
4,830,203 Transfer of cap due to servicing transfer
02/16/2016
$
250,000
$
5,080,203 Transfer of cap due to servicing transfer
02/25/2016
$
(2,536,406)
$
2,543,797 Reallocation due to MHA program deobligation
03/16/2016
$
30,000
$
2,573,797 Transfer of cap due to servicing transfer
03/28/2016
$
(54,350)
$
2,519,447 Updated due to quarterly assessment and reallocation
04/14/2016
$
350,000
$
2,869,447 Transfer of cap due to servicing transfer
-
$
2,869,447 Transfer of cap due to servicing transfer
05/16/2016
05/31/2016
$
(472,698)
$
2,396,749 Updated due to quarterly assessment and reallocation
06/16/2016
$
80,000
$
2,476,749 Transfer of cap due to servicing transfer
06/27/2016
$
(290,202)
$
2,186,547 Updated due to quarterly assessment and reallocation
07/14/2016
$
(100,000)
$
2,086,547 Transfer of cap due to servicing transfer
07/27/2016
$
(281,016)
$
1,805,531 Updated due to quarterly assessment and reallocation
08/16/2016
$
100,000
$
1,905,531 Transfer of cap due to servicing transfer
09/15/2016
$
360,000
$
2,265,531 Transfer of cap due to servicing transfer
09/28/2016
$
(712,092)
$
1,553,439 Updated due to quarterly assessment and reallocation
10/14/2016
$
120,000
$
1,673,439 Transfer of cap due to servicing transfer
10/25/2016
$
(730,021)
$
943,418 Updated due to quarterly assessment and reallocation
88
Servicer Modifying Borrowers' Loans
Date
Name of Institution
Fidelity Bank (Fidelity
12/09/2009
Homestead SavingsBank)
07/29/2009 FIRST BANK
City
New Orleans
St. Louis
Adjustment Details
State
LA
MO
Transaction
Type
Purchase
Purchase
Investment Description
Financial Instrument for Home Loan Modifications
Financial Instrument for Home Loan Modifications
Cap of Incentive Payments on
Behalf of Borrowers and to
Servicers & Lenders/Investors
(Cap) *
$
$
Pricing
Mechanism
2,940,000 N/A
6,460,000 N/A
Note
Adjustment
Date
CAP Adjustment Amount
Adjusted CAP
Reason for Adjustment
11/07/2016
$
281,449
$
1,224,867 Updated due to quarterly assessment and reallocation
11/16/2016
$
80,000
$
1,304,867 Transfer of cap due to servicing transfer
11/29/2016
$
(5,980)
$
1,298,887 Updated due to quarterly assessment and reallocation
12/15/2016
$
850,000
$
2,148,887 Transfer of cap due to servicing transfer
12/27/2016
$
(1,922)
$
2,146,965 Transfer of cap due to servicing transfer
01/13/2017
$
520,000
$
2,666,965 Transfer of cap due to servicing transfer
02/16/2017
$
200,000
$
2,866,965 Transfer of cap due to servicing transfer
02/27/2017
$
(46,222)
$
2,820,743 Transfer of cap due to servicing transfer
03/16/2017
$
10,000
$
2,830,743 Transfer of cap due to servicing transfer
04/26/2017
$
(3,043)
$
2,827,700 Transfer of cap due to servicing transfer
06/26/2017
$
(22,277)
$
2,805,423 Transfer of cap due to servicing transfer
07/26/2017
$
(681)
$
2,804,742 Updated due to quarterly assessment and reallocation
09/26/2017
$
(884,668)
$
1,920,074 Transfer of cap due to servicing transfer
10/26/2017
$
(111,602)
$
1,808,472 Transfer of cap due to servicing transfer
12/21/2017
$
(112,992)
$
1,695,480 Transfer of cap due to servicing transfer
01/22/2010
$
140,000
$
3,080,000 Updated portfolio data from servicer/additional program initial cap
03/26/2010
$
6,300,000
$
9,380,000 Updated portfolio data from servicer
07/14/2010
$
(1,980,000)
$
7,400,000 Updated portfolio data from servicer
09/30/2010
$
(6,384,611)
$
1,015,389 Updated portfolio data from servicer
01/06/2011
$
(1)
$
1,015,388 Updated due to quarterly assessment and reallocation
03/30/2011
$
(2)
$
1,015,386 Updated due to quarterly assessment and reallocation
06/29/2011
$
(16)
$
1,015,370 Updated due to quarterly assessment and reallocation
06/28/2012
$
(12)
$
1,015,358 Updated due to quarterly assessment and reallocation
09/27/2012
$
(32)
$
1,015,326 Updated due to quarterly assessment and reallocation
12/27/2012
$
(5)
$
1,015,321 Updated due to quarterly assessment and reallocation
03/25/2013
$
(21)
$
1,015,300 Updated due to quarterly assessment and reallocation
06/27/2013
$
(8)
$
1,015,292 Updated due to quarterly assessment and reallocation
09/27/2013
$
(3)
$
1,015,289 Updated due to quarterly assessment and reallocation
12/23/2013
$
(4,716)
$
1,010,573 Updated due to quarterly assessment and reallocation
03/26/2014
$
(165)
$
1,010,408 Updated due to quarterly assessment and reallocation
06/26/2014
$
(1,944)
$
1,008,464 Updated due to quarterly assessment and reallocation
07/29/2014
$
(3,862)
$
1,004,602 Updated due to quarterly assessment and reallocation
09/29/2014
$
(1,276)
$
1,003,326 Updated due to quarterly assessment and reallocation
12/29/2014
$
(130,634)
$
872,692 Updated due to quarterly assessment and reallocation
03/26/2015
$
(49,137)
$
823,555 Updated due to quarterly assessment and reallocation
04/28/2015
$
(187,406)
$
636,149 Updated due to quarterly assessment and reallocation
06/25/2015
$
(45,604)
$
590,545 Updated due to quarterly assessment and reallocation
09/28/2015
$
(60,938)
$
529,607 Updated due to quarterly assessment and reallocation
12/28/2015
$
(41,224)
$
488,383 Updated due to quarterly assessment and reallocation
02/25/2016
$
(126,974)
$
361,409 Reallocation due to MHA program deobligation
03/28/2016
$
(2,655)
$
358,754 Updated due to quarterly assessment and reallocation
05/31/2016
$
(25,640)
$
333,114 Updated due to quarterly assessment and reallocation
06/27/2016
$
(15,317)
$
317,797 Updated due to quarterly assessment and reallocation
07/27/2016
$
(15,322)
$
302,475 Updated due to quarterly assessment and reallocation
09/28/2016
$
(26,835)
$
275,640 Updated due to quarterly assessment and reallocation
10/25/2016
$
(25,423)
$
250,217 Updated due to quarterly assessment and reallocation
11/07/2016
$
9,802
$
260,019 Updated due to quarterly assessment and reallocation
11/29/2016
$
(278)
$
259,741 Updated due to quarterly assessment and reallocation
12/27/2016
$
(43)
$
259,698 Transfer of cap due to servicing transfer
02/27/2017
$
(739)
$
258,959 Transfer of cap due to servicing transfer
04/26/2017
$
(66)
$
258,893 Transfer of cap due to servicing transfer
06/26/2017
$
(669)
$
258,224 Transfer of cap due to servicing transfer
07/26/2017
$
(20)
$
258,204 Updated due to quarterly assessment and reallocation
09/26/2017
$
(21,763)
$
236,441 Transfer of cap due to servicing transfer
10/26/2017
$
(2,699)
$
233,742 Transfer of cap due to servicing transfer
12/21/2017
$
(2,812)
$
09/30/2009
$
(1,530,000)
$
4,930,000 Updated portfolio data from servicer/additional program initial cap
12/30/2009
$
680,000
$
5,610,000 Updated portfolio data from servicer/additional program initial cap
03/26/2010
$
2,460,000
$
8,070,000 Updated portfolio data from servicer
07/14/2010
$
(2,470,000)
$
5,600,000 Updated portfolio data from servicer
09/30/2010
$
2,523,114
$
8,123,114 Updated portfolio data from servicer
01/06/2011
$
(2)
$
8,123,112 Updated due to quarterly assessment and reallocation
03/30/2011
$
(2)
$
8,123,110 Updated due to quarterly assessment and reallocation
06/29/2011
$
(15)
$
8,123,095 Updated due to quarterly assessment and reallocation
06/28/2012
$
(3)
$
8,123,092 Updated due to quarterly assessment and reallocation
09/27/2012
$
(5)
$
8,123,087 Updated due to quarterly assessment and reallocation
12/27/2012
$
(1)
$
8,123,086 Updated due to quarterly assessment and reallocation
03/25/2013
$
(5)
$
8,123,081 Updated due to quarterly assessment and reallocation
06/27/2013
$
(1)
$
8,123,080 Updated due to quarterly assessment and reallocation
230,930 Transfer of cap due to servicing transfer
89
Servicer Modifying Borrowers' Loans
Date
05/15/2014
Name of Institution
First Citizens Bank & Trust
Company
09/30/2010 First Federal Bank of Florida
06/19/2009 First Federal Savings and Loan
City
Hendersonville
Lake City
Port Angeles
Adjustment Details
State
NC
FL
WA
Transaction
Type
Purchase
Purchase
Purchase
Investment Description
Cap of Incentive Payments on
Behalf of Borrowers and to
Servicers & Lenders/Investors
(Cap) *
Financial Instrument for Home Loan Modifications
Financial Instrument for Home Loan Modifications
Financial Instrument for Home Loan Modifications
Pricing
Mechanism
- N/A
$
$
100,000 N/A
770,000 N/A
First Federal Savings and Loan
12/16/2009
Association of Lakewood
Lakewood
OH
Purchase
Financial Instrument for Home Loan Modifications
$
3,460,000 N/A
08/27/2010 First Financial Bank, N.A.
Terre Haute
ID
Purchase
Financial Instrument for Home Loan Modifications
$
4,300,000 N/A
Note
3
Adjustment
Date
CAP Adjustment Amount
Adjusted CAP
Reason for Adjustment
12/23/2013
$
(474)
$
8,122,606 Updated due to quarterly assessment and reallocation
03/26/2014
$
(18)
$
8,122,588 Updated due to quarterly assessment and reallocation
06/26/2014
$
(35)
$
8,122,553 Updated due to quarterly assessment and reallocation
07/29/2014
$
1,722
$
09/29/2014
$
33,199
$
8,157,474 Updated due to quarterly assessment and reallocation
12/29/2014
$
2,304,333
$
10,461,807 Updated due to quarterly assessment and reallocation
03/26/2015
$
4,415
$
10,466,222 Updated due to quarterly assessment and reallocation
04/28/2015
$
495,986
$
10,962,208 Updated due to quarterly assessment and reallocation
06/25/2015
$
38,337
$
11,000,545 Updated due to quarterly assessment and reallocation
09/28/2015
$
16,222
$
11,016,767 Updated due to quarterly assessment and reallocation
12/28/2015
$
12,289
$
11,029,056 Updated due to quarterly assessment and reallocation
02/25/2016
$
(392,747)
$
10,636,309 Reallocation due to MHA program deobligation
03/28/2016
$
(8,110)
$
10,628,199 Updated due to quarterly assessment and reallocation
05/16/2016
$
20,000
$
10,648,199 Transfer of cap due to servicing transfer
05/31/2016
$
(61,251)
$
10,586,948 Updated due to quarterly assessment and reallocation
06/27/2016
$
(33,414)
$
10,553,534 Updated due to quarterly assessment and reallocation
07/27/2016
$
(37,528)
$
10,516,006 Updated due to quarterly assessment and reallocation
09/28/2016
$
(44,662)
$
10,471,344 Updated due to quarterly assessment and reallocation
10/25/2016
$
(33,219)
$
10,438,125 Updated due to quarterly assessment and reallocation
11/07/2016
$
12,807
$
10,450,932 Updated due to quarterly assessment and reallocation
11/16/2016
$
(1,270,000)
$
9,180,932 Transfer of cap due to servicing transfer
11/29/2016
$
(4,768)
$
9,176,164 Updated due to quarterly assessment and reallocation
12/27/2016
$
(692)
$
9,175,472 Transfer of cap due to servicing transfer
02/27/2017
$
(11,690)
$
9,163,782 Transfer of cap due to servicing transfer
04/26/2017
$
(758)
$
9,163,024 Transfer of cap due to servicing transfer
06/26/2017
$
(5,946)
$
9,157,078 Transfer of cap due to servicing transfer
07/26/2017
$
(180)
$
9,156,898 Updated due to quarterly assessment and reallocation
09/26/2017
$
(23,170)
$
9,133,728 Transfer of cap due to servicing transfer
10/26/2017
$
(2,873)
$
9,130,855 Transfer of cap due to servicing transfer
12/21/2017
$
(2,993)
$
9,127,862 Transfer of cap due to servicing transfer
05/15/2014
$
10,000
$
10,000 Transfer of cap due to servicing transfer
12/15/2016
$
20,000
$
09/30/2010
$
45,056
$
145,056 Updated portfolio data from servicer
06/29/2011
$
(1)
$
145,055 Updated due to quarterly assessment and reallocation
06/28/2012
$
(1)
$
145,054 Updated due to quarterly assessment and reallocation
09/27/2012
$
(2)
$
145,052 Updated due to quarterly assessment and reallocation
03/25/2013
$
(1)
$
145,051 Updated due to quarterly assessment and reallocation
12/23/2013
$
(232)
$
144,819 Updated due to quarterly assessment and reallocation
03/26/2014
$
(8)
$
144,811 Updated due to quarterly assessment and reallocation
06/26/2014
$
(96)
$
144,715 Updated due to quarterly assessment and reallocation
07/29/2014
$
(191)
$
144,524 Updated due to quarterly assessment and reallocation
09/29/2014
$
(63)
$
144,461 Updated due to quarterly assessment and reallocation
12/29/2014
$
(7,654)
$
136,807 Updated due to quarterly assessment and reallocation
03/26/2015
$
(2,879)
$
133,928 Updated due to quarterly assessment and reallocation
04/28/2015
$
(11,347)
$
122,581 Updated due to quarterly assessment and reallocation
06/25/2015
$
(2,691)
$
119,890 Updated due to quarterly assessment and reallocation
09/28/2015
$
(3,595)
$
116,295 Updated due to quarterly assessment and reallocation
12/28/2015
$
(2,660)
$
113,635 Updated due to quarterly assessment and reallocation
02/25/2016
$
(7,597)
$
106,038 Reallocation due to MHA program deobligation
03/28/2016
$
(159)
$
105,879 Updated due to quarterly assessment and reallocation
05/31/2016
$
(1,242)
$
104,637 Updated due to quarterly assessment and reallocation
06/27/2016
$
(742)
$
103,895 Updated due to quarterly assessment and reallocation
07/27/2016
$
(742)
$
103,153 Updated due to quarterly assessment and reallocation
09/28/2016
$
(1,298)
$
101,855 Updated due to quarterly assessment and reallocation
10/25/2016
$
(1,226)
$
100,629 Updated due to quarterly assessment and reallocation
11/07/2016
$
472
$
101,101 Updated due to quarterly assessment and reallocation
11/29/2016
$
(8)
$
101,093 Updated due to quarterly assessment and reallocation
12/27/2016
$
(1)
$
101,092 Transfer of cap due to servicing transfer
02/27/2017
$
(22)
$
101,070 Transfer of cap due to servicing transfer
04/26/2017
$
(1)
$
101,069 Transfer of cap due to servicing transfer
06/26/2017
$
(11)
$
101,058 Transfer of cap due to servicing transfer
07/14/2017
$
(101,058)
12/30/2009
$
2,020,000
$
03/26/2010
$
11,370,000
$
05/26/2010
$
(14,160,000)
01/22/2010
$
160,000
04/21/2010
$
(3,620,000)
09/30/2010
$
7,014,337
$
11,314,337 Updated portfolio data from servicer
01/06/2011
$
(17)
$
11,314,320 Updated due to quarterly assessment and reallocation
8,124,275 Updated due to quarterly assessment and reallocation
30,000 Transfer of cap due to servicing transfer
- Termination of SPA
2,790,000 Updated portfolio data from servicer/additional program initial cap
14,160,000 Updated portfolio data from servicer
- Termination of SPA
$
3,620,000 Updated portfolio data from servicer/additional program initial cap
- Termination of SPA
90
Servicer Modifying Borrowers' Loans
Date
Name of Institution
11/25/2009 First Keystone Bank
City
Media
Adjustment Details
State
PA
Transaction
Type
Purchase
Investment Description
Financial Instrument for Home Loan Modifications
Cap of Incentive Payments on
Behalf of Borrowers and to
Servicers & Lenders/Investors
(Cap) *
$
Pricing
Mechanism
Note
1,280,000 N/A
Adjustment
Date
CAP Adjustment Amount
Adjusted CAP
Reason for Adjustment
03/30/2011
$
(20)
$
11,314,300 Updated due to quarterly assessment and reallocation
06/29/2011
$
(192)
$
11,314,108 Updated due to quarterly assessment and reallocation
06/28/2012
$
(144)
$
11,313,964 Updated due to quarterly assessment and reallocation
09/27/2012
$
(396)
$
11,313,568 Updated due to quarterly assessment and reallocation
12/27/2012
$
(67)
$
11,313,501 Updated due to quarterly assessment and reallocation
03/25/2013
$
(253)
$
11,313,248 Updated due to quarterly assessment and reallocation
06/27/2013
$
(95)
$
11,313,153 Updated due to quarterly assessment and reallocation
09/27/2013
$
(34)
$
11,313,119 Updated due to quarterly assessment and reallocation
12/23/2013
$
(57,776)
$
11,255,343 Updated due to quarterly assessment and reallocation
03/26/2014
$
(2,031)
$
11,253,312 Updated due to quarterly assessment and reallocation
06/26/2014
$
(23,972)
$
11,229,340 Updated due to quarterly assessment and reallocation
07/29/2014
$
(47,613)
$
11,181,727 Updated due to quarterly assessment and reallocation
09/29/2014
$
(15,728)
$
11,165,999 Updated due to quarterly assessment and reallocation
12/29/2014
$
(1,905,128)
$
9,260,871 Updated due to quarterly assessment and reallocation
03/26/2015
$
(716,488)
$
8,544,383 Updated due to quarterly assessment and reallocation
04/28/2015
$
(2,824,053)
$
5,720,330 Updated due to quarterly assessment and reallocation
06/25/2015
$
(669,754)
$
5,050,576 Updated due to quarterly assessment and reallocation
07/16/2015
$
10,000
$
5,060,576 Transfer of cap due to servicing transfer
09/28/2015
$
(896,475)
$
4,164,101 Updated due to quarterly assessment and reallocation
12/28/2015
$
(663,462)
$
3,500,639 Updated due to quarterly assessment and reallocation
02/25/2016
$
(1,894,718)
$
1,605,921 Reallocation due to MHA program deobligation
03/28/2016
$
(39,578)
$
1,566,343 Updated due to quarterly assessment and reallocation
05/31/2016
$
(309,770)
$
1,256,573 Updated due to quarterly assessment and reallocation
06/27/2016
$
(185,051)
$
1,071,522 Updated due to quarterly assessment and reallocation
07/27/2016
$
(185,107)
$
886,415 Updated due to quarterly assessment and reallocation
09/28/2016
$
(323,721)
$
562,694 Updated due to quarterly assessment and reallocation
10/25/2016
$
(305,894)
$
256,800 Updated due to quarterly assessment and reallocation
11/07/2016
$
117,933
$
374,733 Updated due to quarterly assessment and reallocation
11/29/2016
$
(2,116)
$
372,617 Updated due to quarterly assessment and reallocation
12/27/2016
$
(323)
$
372,294 Transfer of cap due to servicing transfer
02/27/2017
$
(5,606)
$
366,688 Transfer of cap due to servicing transfer
04/26/2017
$
(367)
$
366,321 Transfer of cap due to servicing transfer
06/26/2017
$
(2,826)
$
363,495 Transfer of cap due to servicing transfer
07/26/2017
$
(85)
$
363,410 Updated due to quarterly assessment and reallocation
09/26/2017
$
(112,706)
$
250,704 Transfer of cap due to servicing transfer
10/26/2017
$
(13,977)
$
236,727 Transfer of cap due to servicing transfer
12/21/2017
$
(14,561)
$
01/22/2010
$
50,000
$
1,330,000 Updated portfolio data from servicer/additional program initial cap
03/26/2010
$
1,020,000
$
2,350,000 Updated portfolio data from servicer
07/14/2010
$
(950,000)
$
1,400,000 Updated portfolio data from servicer
09/30/2010
$
50,556
$
1,450,556 Updated portfolio data from servicer
01/06/2011
$
(2)
$
1,450,554 Updated due to quarterly assessment and reallocation
03/30/2011
$
(2)
$
1,450,552 Updated due to quarterly assessment and reallocation
06/16/2011
$
(100,000)
$
1,350,552 Transfer of cap due to servicing transfer
06/29/2011
$
(21)
$
1,350,531 Updated due to quarterly assessment and reallocation
$
(1,335,614)
222,166 Transfer of cap due to servicing transfer
6
07/22/2011
$
14,917 Termination of SPA
01/13/2017 First Merchants Bank
06/16/2014 First Mortgage Company, LLC
Muncie
IN
Purchase
Financial Instrument for Home Loan Modifications
- N/A
3
01/13/2017
$
10,000
$
10,000 Transfer of cap due to servicing transfer
Oklahoma City
OK
Purchase
Financial Instrument for Home Loan Modifications
- N/A
3
06/16/2014
$
20,000
$
20,000 Transfer of cap due to servicing transfer
08/16/2017
$
(20,000)
09/30/2010 First Mortgage Corporation
Diamond Bar
CA
Purchase
Financial Instrument for Home Loan Modifications
09/30/2010
$
45,056
$
145,056 Updated portfolio data from servicer
$
100,000 N/A
06/29/2011
$
- Termination of SPA
(1)
$
145,055 Updated due to quarterly assessment and reallocation
06/28/2012
$
(1)
$
145,054 Updated due to quarterly assessment and reallocation
09/27/2012
$
(2)
$
145,052 Updated due to quarterly assessment and reallocation
03/25/2013
$
(1)
$
145,051 Updated due to quarterly assessment and reallocation
12/23/2013
$
(232)
$
144,819 Updated due to quarterly assessment and reallocation
03/26/2014
$
(8)
$
144,811 Updated due to quarterly assessment and reallocation
06/26/2014
$
(96)
$
144,715 Updated due to quarterly assessment and reallocation
07/29/2014
$
(191)
$
144,524 Updated due to quarterly assessment and reallocation
09/29/2014
$
(63)
$
144,461 Updated due to quarterly assessment and reallocation
12/29/2014
$
(7,654)
$
136,807 Updated due to quarterly assessment and reallocation
03/26/2015
$
(2,879)
$
133,928 Updated due to quarterly assessment and reallocation
04/28/2015
$
(11,347)
$
122,581 Updated due to quarterly assessment and reallocation
06/25/2015
$
(2,691)
$
119,890 Updated due to quarterly assessment and reallocation
09/28/2015
$
(3,595)
$
116,295 Updated due to quarterly assessment and reallocation
12/28/2015
$
(2,660)
$
113,635 Updated due to quarterly assessment and reallocation
02/16/2016
$
(10,000)
$
103,635 Transfer of cap due to servicing transfer
02/25/2016
$
(2,025)
$
101,610 Reallocation due to MHA program deobligation
03/28/2016
$
(42)
$
101,568 Updated due to quarterly assessment and reallocation
05/16/2016
$
(20,000)
$
81,568 Transfer of cap due to servicing transfer
91
Servicer Modifying Borrowers' Loans
Date
01/13/2010
07/14/2017
Name of Institution
First National Bank of Grant
Park
First National Bank of
Pennsylvania
09/30/2010 First Safety Bank
04/14/2016 First State Bank
09/30/2010
Flagstar Capital Markets
Corporation
City
Grant Park
Hermitage
Cincinnati
Mendota
Troy
Adjustment Details
State
IL
PA
OH
IL
MI
Transaction
Type
Purchase
Purchase
Purchase
Purchase
Purchase
Investment Description
Financial Instrument for Home Loan Modifications
Financial Instrument for Home Loan Modifications
Financial Instrument for Home Loan Modifications
Cap of Incentive Payments on
Behalf of Borrowers and to
Servicers & Lenders/Investors
(Cap) *
$
$
$
Financial Instrument for Home Loan Modifications
Financial Instrument for Home Loan Modifications
Pricing
Mechanism
140,000 N/A
1 N/A
3
400,000 N/A
- N/A
$
Note
3
800,000 N/A
3
02/13/2014 Florida Community Bank, NA
02/16/2017 FNF Servicing, Inc
Franklin Credit Management
09/11/2009
Corporation
Weston
Virginia Beach
Jersey City
FL
VA
NJ
Purchase
Purchase
Purchase
Financial Instrument for Home Loan Modifications
- N/A
Financial Instrument for Home Loan Modifications
Financial Instrument for Home Loan Modifications
- N/A
$
27,510,000 N/A
3
3
Adjustment
Date
CAP Adjustment Amount
Adjusted CAP
Reason for Adjustment
07/14/2016
$
(10,000)
$
03/26/2010
$
150,000
$
290,000 Updated portfolio data from servicer
07/14/2010
$
10,000
$
300,000 Updated portfolio data from servicer
09/30/2010
$
(9,889)
$
290,111 Updated portfolio data from servicer
01/26/2011
$
(290,111)
07/26/2017
$
29,232
$
29,233 Updated due to quarterly assessment and reallocation
09/26/2017
$
1,524
$
30,757 Transfer of cap due to servicing transfer
09/30/2010
$
180,222
$
580,222 Updated portfolio data from servicer
01/06/2011
$
(1)
$
580,221 Updated due to quarterly assessment and reallocation
03/23/2011
$
(580,221)
04/14/2016
$
30,000
$
30,000 Transfer of cap due to servicing transfer
05/31/2016
$
588
$
30,588 Updated due to quarterly assessment and reallocation
09/30/2010
$
360,445
$
1,160,445 Updated portfolio data from servicer
01/06/2011
$
(2)
$
1,160,443 Updated due to quarterly assessment and reallocation
03/30/2011
$
(2)
$
1,160,441 Updated due to quarterly assessment and reallocation
06/29/2011
$
(18)
$
1,160,423 Updated due to quarterly assessment and reallocation
06/28/2012
$
(14)
$
1,160,409 Updated due to quarterly assessment and reallocation
09/27/2012
$
(37)
$
1,160,372 Updated due to quarterly assessment and reallocation
12/27/2012
$
(6)
$
1,160,366 Updated due to quarterly assessment and reallocation
03/25/2013
$
(24)
$
1,160,342 Updated due to quarterly assessment and reallocation
06/27/2013
$
(9)
$
1,160,333 Updated due to quarterly assessment and reallocation
09/27/2013
$
(3)
$
1,160,330 Updated due to quarterly assessment and reallocation
12/23/2013
$
(5,463)
$
1,154,867 Updated due to quarterly assessment and reallocation
03/26/2014
$
(192)
$
1,154,675 Updated due to quarterly assessment and reallocation
06/26/2014
$
(2,267)
$
1,152,408 Updated due to quarterly assessment and reallocation
07/01/2014
$
(1,152,408)
04/16/2015
$
10,000
$
10,000 Transfer of cap due to servicing transfer
05/14/2015
$
10,000
$
20,000 Transfer of cap due to servicing transfer
01/14/2016
$
10,000
$
30,000 Transfer of cap due to servicing transfer
09/15/2016
$
10,000
$
40,000 Transfer of cap due to servicing transfer
01/13/2017
$
10,000
$
50,000 Transfer of cap due to servicing transfer
02/13/2014
$
150,000
$
150,000 Transfer of cap due to servicing transfer
71,568 Transfer of cap due to servicing transfer
- Termination of SPA
- Termination of SPA
- Termination of SPA
03/26/2014
$
(2)
$
149,998 Updated due to quarterly assessment and reallocation
04/16/2014
$
20,000
$
169,998 Transfer of cap due to servicing transfer
06/26/2014
$
(37)
$
169,961 Updated due to quarterly assessment and reallocation
07/29/2014
$
(73)
$
169,888 Updated due to quarterly assessment and reallocation
09/29/2014
$
(25)
$
169,863 Updated due to quarterly assessment and reallocation
12/29/2014
$
27,160
$
197,023 Updated due to quarterly assessment and reallocation
03/26/2015
$
(16)
$
197,007 Updated due to quarterly assessment and reallocation
04/28/2015
$
(64)
$
196,943 Updated due to quarterly assessment and reallocation
06/25/2015
$
(15)
$
196,928 Updated due to quarterly assessment and reallocation
09/28/2015
$
(20)
$
196,908 Updated due to quarterly assessment and reallocation
12/28/2015
$
(14,536)
$
182,372 Updated due to quarterly assessment and reallocation
02/25/2016
$
(45,046)
$
137,326 Reallocation due to MHA program deobligation
03/16/2016
$
(10,000)
$
127,326 Transfer of cap due to servicing transfer
03/28/2016
$
(718)
$
126,608 Updated due to quarterly assessment and reallocation
05/31/2016
$
(5,621)
$
120,987 Updated due to quarterly assessment and reallocation
06/27/2016
$
(3,358)
$
117,629 Updated due to quarterly assessment and reallocation
07/27/2016
$
(3,359)
$
114,270 Updated due to quarterly assessment and reallocation
09/15/2016
$
(30,000)
$
84,270 Transfer of cap due to servicing transfer
02/16/2017
$
3,650,000
$
3,650,000 Transfer of cap due to servicing transfer
02/27/2017
$
(71,085)
$
3,578,915 Transfer of cap due to servicing transfer
04/26/2017
$
(4,716)
$
3,574,199 Transfer of cap due to servicing transfer
06/26/2017
$
(36,368)
$
3,537,831 Transfer of cap due to servicing transfer
07/26/2017
$
(1,101)
$
3,536,730 Updated due to quarterly assessment and reallocation
09/26/2017
$
(1,447,261)
$
2,089,469 Transfer of cap due to servicing transfer
10/26/2017
$
(179,493)
$
1,909,976 Transfer of cap due to servicing transfer
12/21/2017
$
(187,643)
$
10/02/2009
$
6,010,000
$
33,520,000 Updated portfolio data from servicer/additional program initial cap
12/30/2009
$
(19,750,000)
$
13,770,000 Updated portfolio data from servicer/additional program initial cap
03/26/2010
$
(4,780,000)
$
8,990,000 Updated portfolio data from servicer
07/14/2010
$
(2,390,000)
$
6,600,000 Updated portfolio data from servicer
09/30/2010
$
2,973,670
$
9,573,670 Updated portfolio data from servicer
01/06/2011
$
(3)
$
9,573,667 Updated due to quarterly assessment and reallocation
02/16/2011
$
(1,800,000)
$
7,773,667 Transfer of cap due to servicing transfer
03/30/2011
$
(6)
$
7,773,661 Updated due to quarterly assessment and reallocation
06/29/2011
$
(61)
$
7,773,600 Updated due to quarterly assessment and reallocation
10/14/2011
$
(100,000)
$
7,673,600 Transfer of cap due to servicing transfer
06/28/2012
$
(58)
$
7,673,542 Updated due to quarterly assessment and reallocation
1,722,333 Transfer of cap due to servicing transfer
92
Servicer Modifying Borrowers' Loans
Date
Name of Institution
09/30/2010 Franklin Savings
City
Cincinnati
02/16/2016 Freedom Mortgage Corporation Fishers
01/13/2010
Fresno County Federal Credit
Union
Fresno
Adjustment Details
State
OH
IN
CA
Transaction
Type
Purchase
Purchase
Purchase
Investment Description
Financial Instrument for Home Loan Modifications
Cap of Incentive Payments on
Behalf of Borrowers and to
Servicers & Lenders/Investors
(Cap) *
$
Financial Instrument for Home Loan Modifications
Financial Instrument for Home Loan Modifications
Pricing
Mechanism
Tulsa
OK
Purchase
Financial Instrument for Home Loan Modifications
$
Adjusted CAP
Reason for Adjustment
$
(164)
$
7,673,378 Updated due to quarterly assessment and reallocation
$
(29)
$
7,673,349 Updated due to quarterly assessment and reallocation
03/25/2013
$
(110)
$
7,673,239 Updated due to quarterly assessment and reallocation
06/27/2013
$
(42)
$
7,673,197 Updated due to quarterly assessment and reallocation
09/27/2013
$
(15)
$
7,673,182 Updated due to quarterly assessment and reallocation
12/23/2013
$
(25,724)
$
7,647,458 Updated due to quarterly assessment and reallocation
03/14/2014
$
40,000
$
7,687,458 Transfer of cap due to servicing transfer
03/26/2014
$
(913)
$
7,686,545 Updated due to quarterly assessment and reallocation
06/26/2014
$
(10,778)
$
7,675,767 Updated due to quarterly assessment and reallocation
07/29/2014
$
(21,410)
$
7,654,357 Updated due to quarterly assessment and reallocation
09/29/2014
$
(7,073)
$
7,647,284 Updated due to quarterly assessment and reallocation
12/29/2014
$
(757,196)
$
6,890,088 Updated due to quarterly assessment and reallocation
03/26/2015
$
(284,769)
$
6,605,319 Updated due to quarterly assessment and reallocation
04/16/2015
$
(10,000)
$
6,595,319 Transfer of cap due to servicing transfer
04/28/2015
$
(1,122,099)
$
5,473,220 Updated due to quarterly assessment and reallocation
06/25/2015
$
(266,118)
$
5,207,102 Updated due to quarterly assessment and reallocation
08/14/2015
$
(10,000)
$
5,197,102 Transfer of cap due to servicing transfer
09/28/2015
$
(353,677)
$
4,843,425 Updated due to quarterly assessment and reallocation
11/16/2015
$
(10,000)
$
4,833,425 Transfer of cap due to servicing transfer
12/28/2015
$
(257,877)
$
4,575,548 Updated due to quarterly assessment and reallocation
02/25/2016
$
(843,088)
$
3,732,460 Reallocation due to MHA program deobligation
03/28/2016
$
(17,611)
$
3,714,849 Updated due to quarterly assessment and reallocation
05/31/2016
$
(137,838)
$
3,577,011 Updated due to quarterly assessment and reallocation
06/27/2016
$
(82,341)
$
3,494,670 Updated due to quarterly assessment and reallocation
07/27/2016
$
(83,487)
$
3,411,183 Updated due to quarterly assessment and reallocation
08/16/2016
$
(130,000)
$
3,281,183 Transfer of cap due to servicing transfer
09/28/2016
$
(95,638)
$
3,185,545 Updated due to quarterly assessment and reallocation
10/25/2016
$
(90,372)
$
3,095,173 Updated due to quarterly assessment and reallocation
11/07/2016
$
34,842
$
3,130,015 Updated due to quarterly assessment and reallocation
11/29/2016
$
(1,930)
$
3,128,085 Updated due to quarterly assessment and reallocation
12/27/2016
$
(295)
$
3,127,790 Transfer of cap due to servicing transfer
02/27/2017
$
(5,112)
$
3,122,678 Transfer of cap due to servicing transfer
04/26/2017
$
(335)
$
3,122,343 Transfer of cap due to servicing transfer
06/26/2017
$
(2,577)
$
3,119,766 Transfer of cap due to servicing transfer
07/26/2017
$
(78)
$
3,119,688 Updated due to quarterly assessment and reallocation
09/26/2017
$
(30,310)
$
3,089,378 Transfer of cap due to servicing transfer
10/26/2017
$
(3,759)
$
3,085,619 Transfer of cap due to servicing transfer
12/21/2017
$
(3,916)
$
3,081,703 Transfer of cap due to servicing transfer
09/30/2010
$
765,945
$
2,465,945 Updated portfolio data from servicer
01/06/2011
$
(4)
$
2,465,941 Updated due to quarterly assessment and reallocation
03/30/2011
$
(4)
$
2,465,937 Updated due to quarterly assessment and reallocation
06/29/2011
$
(40)
$
2,465,897 Updated due to quarterly assessment and reallocation
06/28/2012
$
(30)
$
2,465,867 Updated due to quarterly assessment and reallocation
09/27/2012
$
(83)
$
2,465,784 Updated due to quarterly assessment and reallocation
12/27/2012
$
(14)
$
2,465,770 Updated due to quarterly assessment and reallocation
03/25/2013
$
(53)
$
2,465,717 Updated due to quarterly assessment and reallocation
06/14/2013
$
(10,000)
$
2,455,717 Transfer of cap due to servicing transfer
06/27/2013
$
(20)
$
2,455,697 Updated due to quarterly assessment and reallocation
09/27/2013
$
(7)
$
2,455,690 Updated due to quarterly assessment and reallocation
6
10/24/2013
$
(2,446,075)
$
3
02/16/2016
$
10,000
$
07/14/2016
$
10,000
$
01/13/2017
$
10,000
$
03/26/2010
$
480,000
$
740,000 Updated portfolio data from servicer
07/14/2010
$
(140,000)
$
600,000 Updated portfolio data from servicer
09/30/2010
$
(19,778)
$
580,222 Updated portfolio data from servicer
01/06/2011
$
(1)
$
580,221 Updated due to quarterly assessment and reallocation
03/30/2011
$
(1)
$
580,220 Updated due to quarterly assessment and reallocation
06/29/2011
$
(8)
$
580,212 Updated due to quarterly assessment and reallocation
06/28/2012
$
(6)
$
580,206 Updated due to quarterly assessment and reallocation
07/06/2012
$
(555,252)
$
09/30/2010
$
45,056
$
145,056 Updated portfolio data from servicer
06/29/2011
$
(1)
$
145,055 Updated due to quarterly assessment and reallocation
06/28/2012
$
(1)
$
145,054 Updated due to quarterly assessment and reallocation
09/27/2012
$
(2)
$
145,052 Updated due to quarterly assessment and reallocation
03/25/2013
$
(1)
$
145,051 Updated due to quarterly assessment and reallocation
12/23/2013
$
(232)
$
144,819 Updated due to quarterly assessment and reallocation
03/26/2014
$
(8)
$
144,811 Updated due to quarterly assessment and reallocation
06/26/2014
$
(96)
$
144,715 Updated due to quarterly assessment and reallocation
260,000 N/A
100,000 N/A
CAP Adjustment Amount
12/27/2012
6
09/30/2010 Gateway Mortgage Group, LLC
Adjustment
Date
09/27/2012
1,700,000 N/A
- N/A
$
Note
9,615 Termination of SPA
10,000 Transfer of cap due to servicing transfer
20,000 Transfer of cap due to servicing transfer
30,000 Transfer of cap due to servicing transfer
24,954 Termination of SPA
93
Servicer Modifying Borrowers' Loans
Date
Name of Institution
Georgia Housing & Finance
05/14/2015
Authority DBA State Home
09/30/2010 GFA Federal Credit Union
09/23/2009 Glass City Federal Credit Union
City
Adjustment Details
State
Transaction
Type
Investment Description
Atlanta
GA
Purchase
Financial Instrument for Home Loan Modifications
Gardner
MA
Purchase
Financial Instrument for Home Loan Modifications
Maumee
OH
Purchase
Financial Instrument for Home Loan Modifications
Cap of Incentive Payments on
Behalf of Borrowers and to
Servicers & Lenders/Investors
(Cap) *
Pricing
Mechanism
- N/A
$
$
Note
3
100,000 N/A
230,000 N/A
6
Adjustment
Date
CAP Adjustment Amount
Adjusted CAP
Reason for Adjustment
07/29/2014
$
(191)
$
144,524 Updated due to quarterly assessment and reallocation
09/29/2014
$
(63)
$
144,461 Updated due to quarterly assessment and reallocation
12/29/2014
$
(7,654)
$
136,807 Updated due to quarterly assessment and reallocation
03/26/2015
$
(2,879)
$
133,928 Updated due to quarterly assessment and reallocation
04/28/2015
$
(11,347)
$
122,581 Updated due to quarterly assessment and reallocation
06/25/2015
$
(2,691)
$
119,890 Updated due to quarterly assessment and reallocation
09/28/2015
$
(3,595)
$
116,295 Updated due to quarterly assessment and reallocation
12/28/2015
$
(2,660)
$
113,635 Updated due to quarterly assessment and reallocation
02/25/2016
$
(7,597)
$
106,038 Reallocation due to MHA program deobligation
03/28/2016
$
(159)
$
105,879 Updated due to quarterly assessment and reallocation
05/31/2016
$
(1,242)
$
104,637 Updated due to quarterly assessment and reallocation
06/27/2016
$
(742)
$
103,895 Updated due to quarterly assessment and reallocation
07/27/2016
$
(742)
$
103,153 Updated due to quarterly assessment and reallocation
09/28/2016
$
(1,298)
$
101,855 Updated due to quarterly assessment and reallocation
10/25/2016
$
(1,226)
$
100,629 Updated due to quarterly assessment and reallocation
11/07/2016
$
472
$
101,101 Updated due to quarterly assessment and reallocation
11/29/2016
$
(8)
$
101,093 Updated due to quarterly assessment and reallocation
12/27/2016
$
(1)
$
101,092 Transfer of cap due to servicing transfer
02/27/2017
$
(22)
$
101,070 Transfer of cap due to servicing transfer
04/26/2017
$
(1)
$
101,069 Transfer of cap due to servicing transfer
06/26/2017
$
(11)
$
101,058 Transfer of cap due to servicing transfer
08/16/2017
$
(101,058)
05/14/2015
$
40,000
$
40,000 Transfer of cap due to servicing transfer
$
145,056 Updated portfolio data from servicer
- Termination of SPA
09/30/2010
$
45,056
03/23/2011
$
(145,056)
10/02/2009
$
60,000
$
290,000 Updated portfolio data from servicer/additional program initial cap
- Termination of SPA
12/30/2009
$
(10,000)
$
280,000 Updated portfolio data from servicer/additional program initial cap
03/26/2010
$
130,000
$
410,000 Updated portfolio data from servicer
07/14/2010
$
(110,000)
$
300,000 Updated portfolio data from servicer
09/30/2010
$
(9,889)
$
290,111 Updated portfolio data from servicer
06/29/2011
$
(3)
$
290,108 Updated due to quarterly assessment and reallocation
06/28/2012
$
(2)
$
290,106 Updated due to quarterly assessment and reallocation
09/27/2012
$
(7)
$
290,099 Updated due to quarterly assessment and reallocation
12/27/2012
$
(1)
$
290,098 Updated due to quarterly assessment and reallocation
03/25/2013
$
(4)
$
290,094 Updated due to quarterly assessment and reallocation
06/27/2013
$
(2)
$
290,092 Updated due to quarterly assessment and reallocation
09/27/2013
$
(1)
$
290,091 Updated due to quarterly assessment and reallocation
12/23/2013
$
(979)
$
289,112 Updated due to quarterly assessment and reallocation
03/26/2014
$
(34)
$
289,078 Updated due to quarterly assessment and reallocation
06/26/2014
$
(406)
$
288,672 Updated due to quarterly assessment and reallocation
07/29/2014
$
(807)
$
287,865 Updated due to quarterly assessment and reallocation
09/29/2014
$
(267)
$
287,598 Updated due to quarterly assessment and reallocation
11/03/2014
$
(275,124)
$
$
20,000
$
$
12,474 Termination of SPA
12/11/2009 Glenview State Bank
Glenview
IL
Purchase
Financial Instrument for Home Loan Modifications
$
370,000 N/A
01/22/2010
$
1,250,000
05/26/2010
$
(1,640,000)
12/16/2009 Golden Plains Credit Union
Garden City
KS
Purchase
Financial Instrument for Home Loan Modifications
$
170,000 N/A
01/22/2010
$
10,000
$
180,000 Updated portfolio data from servicer/additional program initial cap
03/26/2010
$
30,000
$
210,000 Updated portfolio data from servicer
07/14/2010
$
(10,000)
$
200,000 Updated portfolio data from servicer
09/30/2010
$
90,111
$
290,111 Updated portfolio data from servicer
02/17/2011
$
(290,111)
01/22/2010
$
20,000
$
360,000 Updated portfolio data from servicer/additional program initial cap
03/26/2010
$
(320,000)
$
40,000 Updated portfolio data from servicer
07/14/2010
$
760,000
$
800,000 Updated portfolio data from servicer
09/30/2010
$
(74,722)
$
725,278 Updated portfolio data from servicer
01/06/2011
$
(1)
$
725,277 Updated due to quarterly assessment and reallocation
03/30/2011
$
(1)
$
725,276 Updated due to quarterly assessment and reallocation
06/29/2011
$
(11)
$
01/25/2012
$
(725,265)
12/30/2009
$
1,030,000
$
03/26/2010
$
(880,000)
$
720,000 Updated portfolio data from servicer
07/14/2010
$
(320,000)
$
400,000 Updated portfolio data from servicer
09/30/2010
$
180,222
$
580,222 Updated portfolio data from servicer
01/06/2011
$
(1)
$
580,221 Updated due to quarterly assessment and reallocation
03/30/2011
$
(1)
$
580,220 Updated due to quarterly assessment and reallocation
06/29/2011
$
(8)
$
580,212 Updated due to quarterly assessment and reallocation
06/28/2012
$
(6)
$
580,206 Updated due to quarterly assessment and reallocation
09/27/2012
$
(17)
$
580,189 Updated due to quarterly assessment and reallocation
12/27/2012
$
(3)
$
580,186 Updated due to quarterly assessment and reallocation
03/26/2010
12/23/2009 Grafton Suburban Credit Union
10/14/2009 Great Lakes Credit Union
North Grafton
North Chicago
MA
IL
Purchase
Purchase
Financial Instrument for Home Loan Modifications
Financial Instrument for Home Loan Modifications
$
$
340,000 N/A
570,000 N/A
390,000 Updated portfolio data from servicer/additional program initial cap
1,640,000 Updated portfolio data from servicer
- Termination of SPA
- Termination of SPA
725,265 Updated due to quarterly assessment and reallocation
- Termination of SPA
1,600,000 Updated portfolio data from servicer/additional program initial cap
94
Servicer Modifying Borrowers' Loans
Date
01/13/2010
Name of Institution
Greater Nevada LLC dba
Greater Nevada Mortgage
City
Carson City
Adjustment Details
State
NV
Transaction
Type
Purchase
Investment Description
Financial Instrument for Home Loan Modifications
Cap of Incentive Payments on
Behalf of Borrowers and to
Servicers & Lenders/Investors
(Cap) *
$
Pricing
Mechanism
770,000 N/A
Note
Adjustment
Date
CAP Adjustment Amount
Adjusted CAP
Reason for Adjustment
03/25/2013
$
(11)
$
580,175 Updated due to quarterly assessment and reallocation
06/27/2013
$
(4)
$
580,171 Updated due to quarterly assessment and reallocation
09/27/2013
$
(1)
$
580,170 Updated due to quarterly assessment and reallocation
12/23/2013
$
(2,438)
$
577,732 Updated due to quarterly assessment and reallocation
03/26/2014
$
(86)
$
577,646 Updated due to quarterly assessment and reallocation
06/26/2014
$
(925)
$
576,721 Updated due to quarterly assessment and reallocation
07/29/2014
$
(1,789)
$
574,932 Updated due to quarterly assessment and reallocation
09/29/2014
$
(607)
$
574,325 Updated due to quarterly assessment and reallocation
12/29/2014
$
(64,898)
$
509,427 Updated due to quarterly assessment and reallocation
03/26/2015
$
(25,379)
$
484,048 Updated due to quarterly assessment and reallocation
04/28/2015
$
(85,402)
$
398,646 Updated due to quarterly assessment and reallocation
06/25/2015
$
(19,002)
$
379,644 Updated due to quarterly assessment and reallocation
09/28/2015
$
(23,268)
$
356,376 Updated due to quarterly assessment and reallocation
12/28/2015
$
(20,061)
$
336,315 Updated due to quarterly assessment and reallocation
02/25/2016
$
(71,077)
$
265,238 Reallocation due to MHA program deobligation
03/28/2016
$
(1,485)
$
263,753 Updated due to quarterly assessment and reallocation
05/31/2016
$
(11,620)
$
252,133 Updated due to quarterly assessment and reallocation
06/27/2016
$
(7,883)
$
244,250 Updated due to quarterly assessment and reallocation
07/27/2016
$
(7,886)
$
236,364 Updated due to quarterly assessment and reallocation
09/28/2016
$
(13,790)
$
222,574 Updated due to quarterly assessment and reallocation
10/25/2016
$
(13,031)
$
209,543 Updated due to quarterly assessment and reallocation
11/07/2016
$
5,024
$
214,567 Updated due to quarterly assessment and reallocation
11/29/2016
$
(177)
$
214,390 Updated due to quarterly assessment and reallocation
12/27/2016
$
(1)
$
214,389 Transfer of cap due to servicing transfer
02/27/2017
$
(166)
$
214,223 Transfer of cap due to servicing transfer
04/26/2017
$
(26)
$
214,197 Transfer of cap due to servicing transfer
06/26/2017
$
(201)
$
213,996 Transfer of cap due to servicing transfer
07/26/2017
$
(4)
$
213,992 Updated due to quarterly assessment and reallocation
09/26/2017
$
(690)
$
213,302 Transfer of cap due to servicing transfer
10/26/2017
$
(86)
$
213,216 Transfer of cap due to servicing transfer
12/21/2017
$
(89)
$
03/26/2010
$
8,680,000
$
9,450,000 Updated portfolio data from servicer
07/14/2010
$
(8,750,000)
$
700,000 Updated portfolio data from servicer
09/30/2010
$
170,334
$
870,334 Updated portfolio data from servicer
01/06/2011
$
(1)
$
870,333 Updated due to quarterly assessment and reallocation
03/30/2011
$
(1)
$
870,332 Updated due to quarterly assessment and reallocation
06/29/2011
$
(8)
$
870,324 Updated due to quarterly assessment and reallocation
06/28/2012
$
(4)
$
870,320 Updated due to quarterly assessment and reallocation
09/27/2012
$
(10)
$
870,310 Updated due to quarterly assessment and reallocation
12/27/2012
$
(2)
$
870,308 Updated due to quarterly assessment and reallocation
03/25/2013
$
(7)
$
870,301 Updated due to quarterly assessment and reallocation
06/27/2013
$
(2)
$
870,299 Updated due to quarterly assessment and reallocation
09/27/2013
$
(1)
$
870,298 Updated due to quarterly assessment and reallocation
12/23/2013
$
(1,504)
$
868,794 Updated due to quarterly assessment and reallocation
03/26/2014
$
(43)
$
868,751 Updated due to quarterly assessment and reallocation
06/26/2014
$
(491)
$
868,260 Updated due to quarterly assessment and reallocation
07/29/2014
$
(975)
$
867,285 Updated due to quarterly assessment and reallocation
09/29/2014
$
(322)
$
866,963 Updated due to quarterly assessment and reallocation
12/29/2014
$
(10,113)
$
856,850 Updated due to quarterly assessment and reallocation
03/26/2015
$
(1,772)
$
855,078 Updated due to quarterly assessment and reallocation
04/28/2015
$
497,659
$
1,352,737 Updated due to quarterly assessment and reallocation
06/25/2015
$
(757)
$
1,351,980 Updated due to quarterly assessment and reallocation
09/28/2015
$
(5,586)
$
1,346,394 Updated due to quarterly assessment and reallocation
12/28/2015
$
(10,273)
$
1,336,121 Updated due to quarterly assessment and reallocation
02/25/2016
$
(215,610)
$
1,120,511 Reallocation due to MHA program deobligation
03/28/2016
$
(5,125)
$
1,115,386 Updated due to quarterly assessment and reallocation
05/31/2016
$
(47,567)
$
1,067,819 Updated due to quarterly assessment and reallocation
06/27/2016
$
(31,239)
$
1,036,580 Updated due to quarterly assessment and reallocation
07/27/2016
$
(31,248)
$
1,005,332 Updated due to quarterly assessment and reallocation
09/28/2016
$
(32,990)
$
972,342 Updated due to quarterly assessment and reallocation
10/25/2016
$
76,377
$
1,048,719 Updated due to quarterly assessment and reallocation
-
$
1,048,719 Updated due to quarterly assessment and reallocation
11/29/2016
$
(236)
$
1,048,483 Updated due to quarterly assessment and reallocation
12/27/2016
$
(30)
$
1,048,453 Transfer of cap due to servicing transfer
02/27/2017
$
(740)
$
1,047,713 Transfer of cap due to servicing transfer
04/26/2017
$
(49)
$
1,047,664 Transfer of cap due to servicing transfer
06/26/2017
$
(432)
$
1,047,232 Transfer of cap due to servicing transfer
07/26/2017
$
(13)
$
1,047,219 Updated due to quarterly assessment and reallocation
09/26/2017
$
18,941
$
1,066,160 Transfer of cap due to servicing transfer
11/07/2016
213,127 Transfer of cap due to servicing transfer
95
Servicer Modifying Borrowers' Loans
Date
Name of Institution
07/14/2011 Gregory Funding, LLC
City
Beaverton
Adjustment Details
State
OR
Transaction
Type
Purchase
Investment Description
Financial Instrument for Home Loan Modifications
Cap of Incentive Payments on
Behalf of Borrowers and to
Servicers & Lenders/Investors
(Cap) *
Pricing
Mechanism
- N/A
Note
3
Adjustment
Date
CAP Adjustment Amount
Adjusted CAP
Reason for Adjustment
10/26/2017
$
(546)
$
1,065,614 Transfer of cap due to servicing transfer
12/21/2017
$
(568)
$
1,065,046 Transfer of cap due to servicing transfer
07/14/2011
$
200,000
$
200,000 Transfer of cap due to servicing transfer
11/16/2011
$
900,000
$
1,100,000 Transfer of cap due to servicing transfer
01/13/2012
$
100,000
$
1,200,000 Transfer of cap due to servicing transfer
06/28/2012
$
(9)
$
1,199,991 Updated due to quarterly assessment and reallocation
08/16/2012
$
20,000
$
1,219,991 Transfer of cap due to servicing transfer
09/27/2012
$
(26)
$
1,219,965 Updated due to quarterly assessment and reallocation
10/16/2012
$
50,000
$
1,269,965 Transfer of cap due to servicing transfer
12/14/2012
$
10,000
$
1,279,965 Transfer of cap due to servicing transfer
12/27/2012
$
(5)
$
1,279,960 Updated due to quarterly assessment and reallocation
01/16/2013
$
130,000
$
1,409,960 Transfer of cap due to servicing transfer
02/14/2013
$
120,000
$
1,529,960 Transfer of cap due to servicing transfer
03/25/2013
$
(20)
$
1,529,940 Updated due to quarterly assessment and reallocation
05/16/2013
$
80,000
$
1,609,940 Transfer of cap due to servicing transfer
06/14/2013
$
420,000
$
2,029,940 Transfer of cap due to servicing transfer
06/27/2013
$
(10)
$
2,029,930 Updated due to quarterly assessment and reallocation
09/27/2013
$
(4)
$
2,029,926 Updated due to quarterly assessment and reallocation
11/14/2013
$
120,000
$
2,149,926 Transfer of cap due to servicing transfer
12/23/2013
$
(7,685)
$
2,142,241 Updated due to quarterly assessment and reallocation
03/14/2014
$
10,000
$
2,152,241 Transfer of cap due to servicing transfer
03/26/2014
$
(274)
$
2,151,967 Updated due to quarterly assessment and reallocation
04/16/2014
$
240,000
$
2,391,967 Transfer of cap due to servicing transfer
06/16/2014
$
30,000
$
2,421,967 Transfer of cap due to servicing transfer
06/26/2014
$
(3,396)
$
2,418,571 Updated due to quarterly assessment and reallocation
07/29/2014
$
(6,541)
$
2,412,030 Updated due to quarterly assessment and reallocation
08/14/2014
$
90,000
$
2,502,030 Transfer of cap due to servicing transfer
09/16/2014
$
30,000
$
2,532,030 Transfer of cap due to servicing transfer
09/29/2014
$
(2,150)
$
2,529,880 Updated due to quarterly assessment and reallocation
11/14/2014
$
100,000
$
2,629,880 Transfer of cap due to servicing transfer
12/16/2014
$
260,000
$
2,889,880 Transfer of cap due to servicing transfer
12/29/2014
$
(122,632)
$
2,767,248 Updated due to quarterly assessment and reallocation
01/15/2015
$
60,000
$
2,827,248 Transfer of cap due to servicing transfer
03/16/2015
$
690,000
$
3,517,248 Transfer of cap due to servicing transfer
03/26/2015
$
(37,405)
$
3,479,843 Updated due to quarterly assessment and reallocation
04/28/2015
$
(144,484)
$
3,335,359 Updated due to quarterly assessment and reallocation
06/25/2015
$
(41,229)
$
3,294,130 Updated due to quarterly assessment and reallocation
07/16/2015
$
40,000
$
3,334,130 Transfer of cap due to servicing transfer
08/14/2015
$
1,860,000
$
5,194,130 Transfer of cap due to servicing transfer
09/16/2015
$
1,560,000
$
6,754,130 Transfer of cap due to servicing transfer
09/28/2015
$
(408,264)
$
6,345,866 Updated due to quarterly assessment and reallocation
10/15/2015
$
740,000
$
7,085,866 Transfer of cap due to servicing transfer
12/16/2015
$
550,000
$
7,635,866 Transfer of cap due to servicing transfer
12/28/2015
$
(469,266)
$
7,166,600 Updated due to quarterly assessment and reallocation
01/14/2016
$
630,000
$
7,796,600 Transfer of cap due to servicing transfer
02/16/2016
$
740,000
$
8,536,600 Transfer of cap due to servicing transfer
02/25/2016
$
(2,389,111)
$
6,147,489 Reallocation due to MHA program deobligation
03/16/2016
$
180,000
$
6,327,489 Transfer of cap due to servicing transfer
03/28/2016
$
(53,531)
$
6,273,958 Updated due to quarterly assessment and reallocation
04/14/2016
$
750,000
$
7,023,958 Transfer of cap due to servicing transfer
05/16/2016
$
150,000
$
7,173,958 Transfer of cap due to servicing transfer
05/31/2016
$
(600,618)
$
6,573,340 Updated due to quarterly assessment and reallocation
06/16/2016
$
560,000
$
7,133,340 Transfer of cap due to servicing transfer
06/27/2016
$
(358,730)
$
6,774,610 Updated due to quarterly assessment and reallocation
07/14/2016
$
120,000
$
6,894,610 Transfer of cap due to servicing transfer
07/27/2016
$
(382,192)
$
6,512,418 Updated due to quarterly assessment and reallocation
08/16/2016
$
140,000
$
6,652,418 Transfer of cap due to servicing transfer
09/15/2016
$
50,000
$
6,702,418 Transfer of cap due to servicing transfer
09/28/2016
$
(787,465)
$
5,914,953 Updated due to quarterly assessment and reallocation
10/14/2016
$
1,190,000
$
7,104,953 Transfer of cap due to servicing transfer
10/25/2016
$
(986,994)
$
6,117,959 Updated due to quarterly assessment and reallocation
11/07/2016
$
380,521
$
6,498,480 Updated due to quarterly assessment and reallocation
11/29/2016
$
(10,149)
$
6,488,331 Updated due to quarterly assessment and reallocation
12/15/2016
$
1,390,000
$
7,878,331 Transfer of cap due to servicing transfer
12/27/2016
$
(2,551)
$
7,875,780 Transfer of cap due to servicing transfer
01/13/2017
$
970,000
$
8,845,780 Transfer of cap due to servicing transfer
02/27/2017
$
(58,951)
$
8,786,829 Transfer of cap due to servicing transfer
03/16/2017
$
1,290,000
$
10,076,829 Transfer of cap due to servicing transfer
04/26/2017
$
(4,964)
$
10,071,865 Transfer of cap due to servicing transfer
96
Servicer Modifying Borrowers' Loans
Date
Name of Institution
09/30/2010 Guaranty Bank
Harleysville National Bank &
Trust Company
12/11/2009 Hartford Savings Bank
10/28/2009
05/15/2014
Heartland Bank & Trust
Company
City
Saint Paul
Adjustment Details
State
MN
Transaction
Type
Purchase
Investment Description
Financial Instrument for Home Loan Modifications
Cap of Incentive Payments on
Behalf of Borrowers and to
Servicers & Lenders/Investors
(Cap) *
$
Pricing
Mechanism
Note
100,000 N/A
Adjustment
Date
CAP Adjustment Amount
Adjusted CAP
Reason for Adjustment
06/26/2017
$
(38,353)
$
10,033,512 Transfer of cap due to servicing transfer
07/26/2017
$
(1,076)
$
10,032,436 Updated due to quarterly assessment and reallocation
09/26/2017
$
(1,238,850)
$
8,793,586 Transfer of cap due to servicing transfer
10/26/2017
$
(145,067)
$
8,648,519 Transfer of cap due to servicing transfer
12/21/2017
$
(166,410)
$
8,482,109 Transfer of cap due to servicing transfer
09/30/2010
$
45,056
$
145,056 Updated portfolio data from servicer
06/29/2011
$
(1)
$
145,055 Updated due to quarterly assessment and reallocation
06/28/2012
$
(1)
$
145,054 Updated due to quarterly assessment and reallocation
09/27/2012
$
(2)
$
145,052 Updated due to quarterly assessment and reallocation
03/25/2013
$
(1)
$
145,051 Updated due to quarterly assessment and reallocation
12/23/2013
$
(232)
$
144,819 Updated due to quarterly assessment and reallocation
03/26/2014
$
(8)
$
144,811 Updated due to quarterly assessment and reallocation
06/26/2014
$
(96)
$
144,715 Updated due to quarterly assessment and reallocation
07/29/2014
$
(191)
$
144,524 Updated due to quarterly assessment and reallocation
09/29/2014
$
(63)
$
144,461 Updated due to quarterly assessment and reallocation
12/29/2014
$
(7,654)
$
136,807 Updated due to quarterly assessment and reallocation
03/26/2015
$
(2,879)
$
133,928 Updated due to quarterly assessment and reallocation
04/28/2015
$
(11,347)
$
122,581 Updated due to quarterly assessment and reallocation
06/25/2015
$
(2,691)
$
119,890 Updated due to quarterly assessment and reallocation
09/28/2015
$
(3,595)
$
116,295 Updated due to quarterly assessment and reallocation
12/28/2015
$
(2,660)
$
113,635 Updated due to quarterly assessment and reallocation
02/25/2016
$
(7,597)
$
106,038 Reallocation due to MHA program deobligation
03/28/2016
$
(159)
$
105,879 Updated due to quarterly assessment and reallocation
05/31/2016
$
(1,242)
$
104,637 Updated due to quarterly assessment and reallocation
06/27/2016
$
(742)
$
103,895 Updated due to quarterly assessment and reallocation
07/27/2016
$
(742)
$
103,153 Updated due to quarterly assessment and reallocation
09/28/2016
$
(1,298)
$
101,855 Updated due to quarterly assessment and reallocation
10/25/2016
$
(1,226)
$
100,629 Updated due to quarterly assessment and reallocation
11/07/2016
$
472
$
101,101 Updated due to quarterly assessment and reallocation
11/29/2016
$
(8)
$
101,093 Updated due to quarterly assessment and reallocation
12/27/2016
$
(1)
$
101,092 Transfer of cap due to servicing transfer
02/27/2017
$
(22)
$
101,070 Transfer of cap due to servicing transfer
04/26/2017
$
(1)
$
101,069 Transfer of cap due to servicing transfer
06/26/2017
$
(11)
$
101,058 Transfer of cap due to servicing transfer
09/26/2017
$
(453)
$
100,605 Transfer of cap due to servicing transfer
10/26/2017
$
(56)
$
100,549 Transfer of cap due to servicing transfer
12/21/2017
$
(58)
$
100,491 Transfer of cap due to servicing transfer
660,000 Updated portfolio data from servicer/additional program initial cap
Harleysville
PA
Purchase
Financial Instrument for Home Loan Modifications
$
1,070,000 N/A
04/21/2010
$
(1,070,000)
Hartford
WI
Purchase
Financial Instrument for Home Loan Modifications
$
630,000 N/A
01/22/2010
$
30,000
$
03/26/2010
$
800,000
$
1,460,000 Updated portfolio data from servicer
07/14/2010
$
(360,000)
$
1,100,000 Updated portfolio data from servicer
09/30/2010
$
60,445
$
1,160,445 Updated portfolio data from servicer
01/06/2011
$
(2)
$
1,160,443 Updated due to quarterly assessment and reallocation
03/30/2011
$
(2)
$
1,160,441 Updated due to quarterly assessment and reallocation
06/29/2011
$
(18)
$
1,160,423 Updated due to quarterly assessment and reallocation
06/28/2012
$
(14)
$
1,160,409 Updated due to quarterly assessment and reallocation
09/27/2012
$
(37)
$
1,160,372 Updated due to quarterly assessment and reallocation
12/27/2012
$
(6)
$
1,160,366 Updated due to quarterly assessment and reallocation
03/25/2013
$
(24)
$
1,160,342 Updated due to quarterly assessment and reallocation
06/27/2013
$
(9)
$
1,160,333 Updated due to quarterly assessment and reallocation
09/27/2013
$
(3)
$
1,160,330 Updated due to quarterly assessment and reallocation
12/23/2013
$
(5,463)
$
1,154,867 Updated due to quarterly assessment and reallocation
03/26/2014
$
(192)
$
1,154,675 Updated due to quarterly assessment and reallocation
06/26/2014
$
(2,267)
$
1,152,408 Updated due to quarterly assessment and reallocation
07/29/2014
$
(4,502)
$
1,147,906 Updated due to quarterly assessment and reallocation
09/29/2014
$
(1,487)
$
1,146,419 Updated due to quarterly assessment and reallocation
12/29/2014
$
(180,152)
$
966,267 Updated due to quarterly assessment and reallocation
03/26/2015
$
(67,752)
$
898,515 Updated due to quarterly assessment and reallocation
04/02/2015
$
(898,515)
05/15/2014
$
90,000
$
06/26/2014
$
20,556
$
110,556 Updated due to quarterly assessment and reallocation
09/29/2014
$
(1)
$
110,555 Updated due to quarterly assessment and reallocation
12/29/2014
$
80,001
$
190,556 Updated due to quarterly assessment and reallocation
03/26/2015
$
(24)
$
190,532 Updated due to quarterly assessment and reallocation
04/28/2015
$
(131)
$
190,401 Updated due to quarterly assessment and reallocation
06/25/2015
$
(56)
$
190,345 Updated due to quarterly assessment and reallocation
09/28/2015
$
(131)
$
190,214 Updated due to quarterly assessment and reallocation
12/28/2015
$
(1,938)
$
188,276 Updated due to quarterly assessment and reallocation
02/25/2016
$
(11,380)
$
176,896 Reallocation due to MHA program deobligation
Bloomington
IL
Purchase
Financial Instrument for Home Loan Modifications
- N/A
3
- Termination of SPA
- Termination of SPA
90,000 Transfer of cap due to servicing transfer
97
Servicer Modifying Borrowers' Loans
Date
Name of Institution
11/18/2009 Hillsdale County National Bank
11/25/2009 Home Financing Center, Inc
04/20/2009 Home Loan Services, Inc.
City
Hillsdale
Adjustment Details
State
MI
Transaction
Type
Purchase
Investment Description
Financial Instrument for Home Loan Modifications
Cap of Incentive Payments on
Behalf of Borrowers and to
Servicers & Lenders/Investors
(Cap) *
$
Pricing
Mechanism
Note
1,670,000 N/A
Adjustment
Date
CAP Adjustment Amount
Adjusted CAP
Reason for Adjustment
03/28/2016
$
(238)
$
176,658 Updated due to quarterly assessment and reallocation
05/31/2016
$
(1,860)
$
174,798 Updated due to quarterly assessment and reallocation
06/27/2016
$
(1,111)
$
173,687 Updated due to quarterly assessment and reallocation
07/27/2016
$
(1,112)
$
172,575 Updated due to quarterly assessment and reallocation
09/28/2016
$
(1,944)
$
170,631 Updated due to quarterly assessment and reallocation
10/25/2016
$
(1,838)
$
168,793 Updated due to quarterly assessment and reallocation
11/07/2016
$
709
$
169,502 Updated due to quarterly assessment and reallocation
11/29/2016
$
(85)
$
169,417 Updated due to quarterly assessment and reallocation
12/27/2016
$
(13)
$
169,404 Transfer of cap due to servicing transfer
02/27/2017
$
(224)
$
169,180 Transfer of cap due to servicing transfer
04/26/2017
$
(15)
$
169,165 Transfer of cap due to servicing transfer
06/26/2017
$
(113)
$
169,052 Transfer of cap due to servicing transfer
07/26/2017
$
(3)
$
169,049 Updated due to quarterly assessment and reallocation
09/26/2017
$
(512)
$
168,537 Transfer of cap due to servicing transfer
10/26/2017
$
(64)
$
168,473 Transfer of cap due to servicing transfer
12/21/2017
$
(66)
$
01/22/2010
$
80,000
$
1,750,000 Updated portfolio data from servicer/additional program initial cap
03/26/2010
$
330,000
$
2,080,000 Updated portfolio data from servicer
07/14/2010
$
(1,080,000)
$
1,000,000 Updated portfolio data from servicer
09/30/2010
$
160,445
$
1,160,445 Updated portfolio data from servicer
01/06/2011
$
(1)
$
1,160,444 Updated due to quarterly assessment and reallocation
03/30/2011
$
(2)
$
1,160,442 Updated due to quarterly assessment and reallocation
06/29/2011
$
(16)
$
1,160,426 Updated due to quarterly assessment and reallocation
06/28/2012
$
(12)
$
1,160,414 Updated due to quarterly assessment and reallocation
09/27/2012
$
(33)
$
1,160,381 Updated due to quarterly assessment and reallocation
12/27/2012
$
(6)
$
1,160,375 Updated due to quarterly assessment and reallocation
03/25/2013
$
(21)
$
1,160,354 Updated due to quarterly assessment and reallocation
06/27/2013
$
(8)
$
1,160,346 Updated due to quarterly assessment and reallocation
09/27/2013
$
(3)
$
1,160,343 Updated due to quarterly assessment and reallocation
12/23/2013
$
(4,797)
$
1,155,546 Updated due to quarterly assessment and reallocation
03/26/2014
$
(169)
$
1,155,377 Updated due to quarterly assessment and reallocation
06/26/2014
$
(1,996)
$
1,153,381 Updated due to quarterly assessment and reallocation
07/29/2014
$
(3,965)
$
1,149,416 Updated due to quarterly assessment and reallocation
09/29/2014
$
(1,311)
$
1,148,105 Updated due to quarterly assessment and reallocation
12/29/2014
$
(144,011)
$
1,004,094 Updated due to quarterly assessment and reallocation
03/26/2015
$
(55,020)
$
949,074 Updated due to quarterly assessment and reallocation
04/28/2015
$
(152,138)
$
796,936 Updated due to quarterly assessment and reallocation
06/25/2015
$
(33,425)
$
763,511 Updated due to quarterly assessment and reallocation
09/28/2015
$
(44,706)
$
718,805 Updated due to quarterly assessment and reallocation
12/28/2015
$
(34,106)
$
684,699 Updated due to quarterly assessment and reallocation
02/25/2016
$
(179,660)
$
505,039 Reallocation due to MHA program deobligation
03/28/2016
$
(3,907)
$
501,132 Updated due to quarterly assessment and reallocation
05/31/2016
$
(30,583)
$
470,549 Updated due to quarterly assessment and reallocation
06/27/2016
$
(18,270)
$
452,279 Updated due to quarterly assessment and reallocation
07/27/2016
$
(19,396)
$
432,883 Updated due to quarterly assessment and reallocation
09/28/2016
$
17,598
$
450,481 Updated due to quarterly assessment and reallocation
11/29/2016
$
(193)
$
450,288 Updated due to quarterly assessment and reallocation
12/27/2016
$
(29)
$
450,259 Transfer of cap due to servicing transfer
02/27/2017
$
(511)
$
449,748 Transfer of cap due to servicing transfer
04/26/2017
$
(33)
$
449,715 Transfer of cap due to servicing transfer
06/26/2017
$
(257)
$
449,458 Transfer of cap due to servicing transfer
07/26/2017
$
(8)
$
449,450 Updated due to quarterly assessment and reallocation
09/26/2017
$
1,031
$
450,481 Transfer of cap due to servicing transfer
168,407 Transfer of cap due to servicing transfer
Coral Gables
FL
Purchase
Financial Instrument for Home Loan Modifications
$
230,000 N/A
04/21/2010
$
(230,000)
Pittsburgh
PA
Purchase
Financial Instrument for Home Loan Modifications
$
319,000,000 N/A
06/12/2009
$
128,300,000
$
447,300,000 Updated portfolio data from servicer
09/30/2009
$
46,730,000
$
494,030,000 Updated portfolio data from servicer/additional program initial cap
12/30/2009
$
145,820,000
$
639,850,000 Updated portfolio data from servicer/additional program initial cap
03/26/2010
$
(17,440,000)
$
622,410,000 Updated portfolio data from servicer
07/14/2010
$
(73,010,000)
$
549,400,000 Updated portfolio data from servicer
09/30/2010
$
6,700,000
$
556,100,000 Updated portfolio data from servicer/additional program initial cap
09/30/2010
$
(77,126,410)
$
478,973,590 Updated portfolio data from servicer
12/15/2010
$
(314,900,000)
$
164,073,590 Transfer of cap due to servicing transfer
01/06/2011
$
(233)
$
164,073,357 Updated due to quarterly assessment and reallocation
02/16/2011
$
(1,900,000)
$
162,173,357 Transfer of cap due to servicing transfer
03/16/2011
$
(400,000)
$
161,773,357 Transfer of cap due to servicing transfer
03/30/2011
$
(278)
$
161,773,079 Updated due to quarterly assessment and reallocation
05/13/2011
$
(400,000)
$
161,373,079 Transfer of cap due to servicing transfer
06/29/2011
$
(2,625)
$
161,370,454 Updated due to quarterly assessment and reallocation
10/19/2011
$
(155,061,221)
$
7
- Termination of SPA
6,309,233 Termination of SPA
98
Servicer Modifying Borrowers' Loans
Date
Name of Institution
02/14/2013 Home Servicing, LLC
08/05/2009 HomEq Servicing
City
Baton Rouge
Adjustment Details
State
LA
North Highlands CA
Transaction
Type
Purchase
Purchase
Investment Description
Financial Instrument for Home Loan Modifications
Financial Instrument for Home Loan Modifications
Cap of Incentive Payments on
Behalf of Borrowers and to
Servicers & Lenders/Investors
(Cap) *
$
Pricing
Mechanism
- N/A
674,000,000 N/A
Note
3
Adjustment
Date
CAP Adjustment Amount
Adjusted CAP
Reason for Adjustment
02/14/2013
$
510,000
$
510,000 Transfer of cap due to servicing transfer
03/25/2013
$
(9)
$
509,991 Updated due to quarterly assessment and reallocation
04/16/2013
$
200,000
$
709,991 Transfer of cap due to servicing transfer
05/16/2013
$
40,000
$
749,991 Transfer of cap due to servicing transfer
06/27/2013
$
(4)
$
749,987 Updated due to quarterly assessment and reallocation
07/16/2013
$
(120,000)
$
629,987 Transfer of cap due to servicing transfer
09/27/2013
$
(2)
$
629,985 Updated due to quarterly assessment and reallocation
12/23/2013
$
(2,620)
$
627,365 Updated due to quarterly assessment and reallocation
03/26/2014
$
(92)
$
627,273 Updated due to quarterly assessment and reallocation
06/26/2014
$
(1,088)
$
626,185 Updated due to quarterly assessment and reallocation
07/29/2014
$
(2,161)
$
624,024 Updated due to quarterly assessment and reallocation
09/16/2014
$
(290,000)
$
334,024 Transfer of cap due to servicing transfer
09/29/2014
$
(332)
$
333,692 Updated due to quarterly assessment and reallocation
12/29/2014
$
(40,233)
$
293,459 Updated due to quarterly assessment and reallocation
03/26/2015
$
(15,131)
$
278,328 Updated due to quarterly assessment and reallocation
04/28/2015
$
(59,638)
$
218,690 Updated due to quarterly assessment and reallocation
06/16/2015
$
70,000
$
288,690 Transfer of cap due to servicing transfer
06/25/2015
$
(22,485)
$
266,205 Updated due to quarterly assessment and reallocation
07/16/2015
$
20,000
$
286,205 Transfer of cap due to servicing transfer
08/14/2015
$
350,000
$
636,205 Transfer of cap due to servicing transfer
09/28/2015
$
(76,282)
$
559,923 Updated due to quarterly assessment and reallocation
12/16/2015
$
30,000
$
589,923 Transfer of cap due to servicing transfer
12/28/2015
$
(64,113)
$
525,810 Updated due to quarterly assessment and reallocation
02/25/2016
$
(189,556)
$
336,254 Reallocation due to MHA program deobligation
03/16/2016
$
430,000
$
766,254 Transfer of cap due to servicing transfer
03/28/2016
$
(14,867)
$
751,387 Updated due to quarterly assessment and reallocation
05/16/2016
$
10,000
$
761,387 Transfer of cap due to servicing transfer
05/31/2016
$
(124,921)
$
636,466 Updated due to quarterly assessment and reallocation
06/16/2016
$
330,000
$
966,466 Transfer of cap due to servicing transfer
06/27/2016
$
(123,685)
$
842,781 Updated due to quarterly assessment and reallocation
07/27/2016
$
(123,723)
$
719,058 Updated due to quarterly assessment and reallocation
08/16/2016
$
280,000
$
999,058 Transfer of cap due to servicing transfer
09/15/2016
$
490,000
$
1,489,058 Transfer of cap due to servicing transfer
09/28/2016
$
(478,102)
$
1,010,956 Updated due to quarterly assessment and reallocation
10/25/2016
$
(451,774)
$
559,182 Updated due to quarterly assessment and reallocation
11/07/2016
$
174,175
$
733,357 Updated due to quarterly assessment and reallocation
11/29/2016
$
(3,266)
$
730,091 Updated due to quarterly assessment and reallocation
12/27/2016
$
(499)
$
729,592 Transfer of cap due to servicing transfer
01/13/2017
$
710,000
$
1,439,592 Transfer of cap due to servicing transfer
02/16/2017
$
30,000
$
1,469,592 Transfer of cap due to servicing transfer
02/27/2017
$
(22,809)
$
1,446,783 Transfer of cap due to servicing transfer
03/16/2017
$
10,000
$
1,456,783 Transfer of cap due to servicing transfer
04/26/2017
$
(1,495)
$
1,455,288 Transfer of cap due to servicing transfer
06/26/2017
$
(12,036)
$
1,443,252 Transfer of cap due to servicing transfer
07/26/2017
$
(364)
$
1,442,888 Updated due to quarterly assessment and reallocation
09/26/2017
$
(472,007)
$
970,881 Transfer of cap due to servicing transfer
10/26/2017
$
(58,536)
$
912,345 Transfer of cap due to servicing transfer
12/21/2017
$
(60,980)
$
09/30/2009
$
(121,190,000)
$
552,810,000 Updated portfolio data from servicer/additional program initial cap
12/30/2009
$
(36,290,000)
$
516,520,000 Updated portfolio data from servicer/additional program initial cap
03/26/2010
$
199,320,000
$
715,840,000 Updated portfolio data from servicer
07/14/2010
$
(189,040,000)
$
526,800,000 Updated portfolio data from servicer
09/30/2010
$
38,626,728
$
565,426,728 Updated portfolio data from servicer
10/15/2010
$
(170,800,000)
$
394,626,728 Transfer of cap due to servicing transfer
12/15/2010
$
(22,200,000)
$
372,426,728 Transfer of cap due to servicing transfer
01/06/2011
$
(549)
$
372,426,179 Updated due to quarterly assessment and reallocation
02/16/2011
$
(900,000)
$
371,526,179 Transfer of cap due to servicing transfer
03/30/2011
$
(653)
$
371,525,526 Updated due to quarterly assessment and reallocation
06/29/2011
$
(6,168)
$
371,519,358 Updated due to quarterly assessment and reallocation
06/28/2012
$
(4,634)
$
371,514,724 Updated due to quarterly assessment and reallocation
08/16/2012
$
(430,000)
$
371,084,724 Transfer of cap due to servicing transfer
09/27/2012
$
(12,728)
$
371,071,996 Updated due to quarterly assessment and reallocation
12/14/2012
$
(20,000)
$
371,051,996 Transfer of cap due to servicing transfer
12/27/2012
$
(2,148)
$
371,049,848 Updated due to quarterly assessment and reallocation
03/25/2013
$
(8,137)
$
371,041,711 Updated due to quarterly assessment and reallocation
06/27/2013
$
(3,071)
$
371,038,640 Updated due to quarterly assessment and reallocation
09/27/2013
$
(1,101)
$
371,037,539 Updated due to quarterly assessment and reallocation
11/14/2013
$
(10,000)
$
371,027,539 Transfer of cap due to servicing transfer
12/23/2013
$
(1,858,220)
$
369,169,319 Updated due to quarterly assessment and reallocation
851,365 Transfer of cap due to servicing transfer
99
Servicer Modifying Borrowers' Loans
Date
12/11/2009
Name of Institution
HomeStar Bank & Financial
Services
City
Manteno
Adjustment Details
State
IL
Transaction
Type
Purchase
Investment Description
Financial Instrument for Home Loan Modifications
Cap of Incentive Payments on
Behalf of Borrowers and to
Servicers & Lenders/Investors
(Cap) *
$
Pricing
Mechanism
Note
13
310,000 N/A
Adjustment
Date
6
Coppell
TX
Purchase
Financial Instrument for Home Loan Modifications
$
1,272,490,000 N/A
14
09/02/2009 Horicon Bank
Horicon
WI
Purchase
Financial Instrument for Home Loan Modifications
$
560,000 N/A
Adjusted CAP
Reason for Adjustment
02/27/2014
$
(360,860,500)
$
01/22/2010
$
20,000
$
03/26/2010
$
820,000
$
1,150,000 Updated portfolio data from servicer
07/14/2010
Homeward Residential, Inc.
07/22/2009
(American Home Mortgage
CAP Adjustment Amount
8,308,819 Termination of SPA
330,000 Updated portfolio data from servicer/additional program initial cap
$
(350,000)
$
800,000 Updated portfolio data from servicer
09/30/2010
$
70,334
$
870,334 Updated portfolio data from servicer
01/06/2011
$
(1)
$
870,333 Updated due to quarterly assessment and reallocation
03/30/2011
$
(1)
$
870,332 Updated due to quarterly assessment and reallocation
06/29/2011
$
(13)
$
870,319 Updated due to quarterly assessment and reallocation
06/28/2012
$
(10)
$
870,309 Updated due to quarterly assessment and reallocation
07/06/2012
$
(856,986)
$
09/30/2009
$
(53,670,000)
$
1,218,820,000 Updated portfolio data from servicer/additional program initial cap
12/30/2009
$
250,450,000
$
1,469,270,000 Updated portfolio data from servicer/additional program initial cap
03/26/2010
$
124,820,000
$
1,594,090,000 Updated portfolio data from servicer
07/14/2010
$
(289,990,000)
$
1,304,100,000 Updated portfolio data from servicer
09/30/2010
$
1,690,508
$
1,305,790,508 Updated portfolio data from servicer
10/15/2010
$
300,000
$
1,306,090,508 Transfer of cap due to servicing transfer
11/16/2010
$
(100,000)
$
1,305,990,508 Transfer of cap due to servicing transfer
01/06/2011
$
(1,173)
$
1,305,989,335 Updated due to quarterly assessment and reallocation
02/16/2011
$
(500,000)
$
1,305,489,335 Transfer of cap due to servicing transfer
03/30/2011
$
(1,400)
$
1,305,487,935 Updated due to quarterly assessment and reallocation
04/13/2011
$
3,100,000
$
1,308,587,935 Transfer of cap due to servicing transfer
06/29/2011
$
(12,883)
$
1,308,575,052 Updated due to quarterly assessment and reallocation
09/15/2011
$
(1,000,000)
$
1,307,575,052 Transfer of cap due to servicing transfer
10/14/2011
$
(100,000)
$
1,307,475,052 Transfer of cap due to servicing transfer
11/16/2011
$
(1,100,000)
$
1,306,375,052 Transfer of cap due to servicing transfer
05/16/2012
$
(10,000)
$
1,306,365,052 Transfer of cap due to servicing transfer
06/28/2012
$
(8,378)
$
1,306,356,674 Updated due to quarterly assessment and reallocation
07/16/2012
$
(470,000)
$
1,305,886,674 Transfer of cap due to servicing transfer
08/16/2012
$
(80,000)
$
1,305,806,674 Transfer of cap due to servicing transfer
09/27/2012
$
(22,494)
$
1,305,784,180 Updated due to quarterly assessment and reallocation
10/16/2012
$
(260,000)
$
1,305,524,180 Transfer of cap due to servicing transfer
11/15/2012
$
(30,000)
$
1,305,494,180 Transfer of cap due to servicing transfer
12/14/2012
$
(50,000)
$
1,305,444,180 Transfer of cap due to servicing transfer
12/27/2012
$
(3,676)
$
1,305,440,504 Updated due to quarterly assessment and reallocation
01/16/2013
$
(80,000)
$
1,305,360,504 Transfer of cap due to servicing transfer
02/14/2013
$
20,000
$
1,305,380,504 Transfer of cap due to servicing transfer
03/14/2013
$
(84,160,000)
$
1,221,220,504 Transfer of cap due to servicing transfer
03/25/2013
$
(12,821)
$
1,221,207,683 Updated due to quarterly assessment and reallocation
04/16/2013
$
(621,110,000)
$
600,097,683 Transfer of cap due to servicing transfer
05/16/2013
$
(19,120,000)
$
580,977,683 Transfer of cap due to servicing transfer
06/27/2013
$
(1,947)
$
580,975,736 Updated due to quarterly assessment and reallocation
07/16/2013
$
(14,870,000)
$
566,105,736 Transfer of cap due to servicing transfer
09/27/2013
$
(655)
$
566,105,081 Updated due to quarterly assessment and reallocation
12/16/2013
$
20,000
$
566,125,081 Transfer of cap due to servicing transfer
12/23/2013
$
(1,110,189)
$
565,014,892 Updated due to quarterly assessment and reallocation
03/26/2014
$
(39,031)
$
564,975,861 Updated due to quarterly assessment and reallocation
04/16/2014
$
(10,000)
$
564,965,861 Transfer of cap due to servicing transfer
05/28/2014
$
(284,475,088)
$
280,490,773 Termination of SPA
10/02/2009
$
130,000
$
690,000 Updated portfolio data from servicer/additional program initial cap
12/30/2009
$
1,040,000
$
1,730,000 Updated portfolio data from servicer/additional program initial cap
03/26/2010
$
13,323 Termination of SPA
(1,680,000)
$
50,000 Updated portfolio data from servicer
05/12/2010
$
1,260,000
$
1,310,000 Updated portfolio data from servicer
07/14/2010
$
(1,110,000)
$
200,000 Updated portfolio data from servicer
09/30/2010
$
100,000
$
300,000 Updated portfolio data from servicer/additional program initial cap
09/30/2010
$
(9,889)
$
290,111 Updated portfolio data from servicer
06/29/2011
$
(3)
$
290,108 Updated due to quarterly assessment and reallocation
06/28/2012
$
(2)
$
290,106 Updated due to quarterly assessment and reallocation
09/27/2012
$
(7)
$
290,099 Updated due to quarterly assessment and reallocation
12/27/2012
$
(1)
$
290,098 Updated due to quarterly assessment and reallocation
03/25/2013
$
(4)
$
290,094 Updated due to quarterly assessment and reallocation
06/27/2013
$
(2)
$
290,092 Updated due to quarterly assessment and reallocation
09/27/2013
$
(1)
$
290,091 Updated due to quarterly assessment and reallocation
12/23/2013
$
(979)
$
289,112 Updated due to quarterly assessment and reallocation
03/26/2014
$
(34)
$
289,078 Updated due to quarterly assessment and reallocation
06/26/2014
$
(406)
$
288,672 Updated due to quarterly assessment and reallocation
07/29/2014
$
(807)
$
287,865 Updated due to quarterly assessment and reallocation
09/29/2014
$
(267)
$
287,598 Updated due to quarterly assessment and reallocation
12/29/2014
$
(32,297)
$
255,301 Updated due to quarterly assessment and reallocation
03/26/2015
$
(12,146)
$
243,155 Updated due to quarterly assessment and reallocation
100
Servicer Modifying Borrowers' Loans
Date
Name of Institution
12/16/2009 Horizon Bank, NA
12/23/2009 Iberiabank
City
Michigan City
Sarasota
Adjustment Details
State
IN
FL
Transaction
Type
Purchase
Purchase
Investment Description
Financial Instrument for Home Loan Modifications
Financial Instrument for Home Loan Modifications
Cap of Incentive Payments on
Behalf of Borrowers and to
Servicers & Lenders/Investors
(Cap) *
$
$
Pricing
Mechanism
Note
700,000 N/A
4,230,000 N/A
6
07/10/2009
IBM Southeast Employees'
Federal Credit Union
Delray Beach
FL
Purchase
Financial Instrument for Home Loan Modifications
$
870,000 N/A
6
10/23/2009 IC Federal Credit Union
Fitchburg
MA
Purchase
Financial Instrument for Home Loan Modifications
$
760,000 N/A
Adjustment
Date
CAP Adjustment Amount
Adjusted CAP
Reason for Adjustment
04/28/2015
$
(47,875)
$
195,280 Updated due to quarterly assessment and reallocation
06/25/2015
$
(11,354)
$
183,926 Updated due to quarterly assessment and reallocation
09/28/2015
$
(15,167)
$
168,759 Updated due to quarterly assessment and reallocation
12/28/2015
$
(11,225)
$
157,534 Updated due to quarterly assessment and reallocation
02/25/2016
$
(32,056)
$
125,478 Reallocation due to MHA program deobligation
03/28/2016
$
(670)
$
124,808 Updated due to quarterly assessment and reallocation
05/31/2016
$
(5,241)
$
119,567 Updated due to quarterly assessment and reallocation
06/27/2016
$
(3,131)
$
116,436 Updated due to quarterly assessment and reallocation
07/27/2016
$
(3,132)
$
113,304 Updated due to quarterly assessment and reallocation
09/28/2016
$
(5,476)
$
107,828 Updated due to quarterly assessment and reallocation
10/25/2016
$
(5,175)
$
102,653 Updated due to quarterly assessment and reallocation
11/07/2016
$
1,995
$
104,648 Updated due to quarterly assessment and reallocation
11/29/2016
$
(36)
$
104,612 Updated due to quarterly assessment and reallocation
12/27/2016
$
(5)
$
104,607 Transfer of cap due to servicing transfer
02/27/2017
$
(95)
$
104,512 Transfer of cap due to servicing transfer
04/26/2017
$
(6)
$
104,506 Transfer of cap due to servicing transfer
06/26/2017
$
(48)
$
104,458 Transfer of cap due to servicing transfer
07/26/2017
$
(1)
$
104,457 Updated due to quarterly assessment and reallocation
09/26/2017
$
(1,907)
$
102,550 Transfer of cap due to servicing transfer
10/26/2017
$
(237)
$
102,313 Transfer of cap due to servicing transfer
12/21/2017
$
(246)
$
102,067 Transfer of cap due to servicing transfer
01/22/2010
$
30,000
$
03/26/2010
$
1,740,000
$
2,470,000 Updated portfolio data from servicer
07/14/2010
$
(1,870,000)
$
600,000 Updated portfolio data from servicer
09/30/2010
$
850,556
$
1,450,556 Updated portfolio data from servicer
01/06/2011
$
(2)
$
1,450,554 Updated due to quarterly assessment and reallocation
03/30/2011
$
(2)
$
1,450,552 Updated due to quarterly assessment and reallocation
06/29/2011
$
(23)
$
1,450,529 Updated due to quarterly assessment and reallocation
06/28/2012
$
(17)
$
1,450,512 Updated due to quarterly assessment and reallocation
09/21/2012
$
(1,450,512)
01/22/2010
$
200,000
$
4,430,000 Updated portfolio data from servicer/additional program initial cap
03/26/2010
$
(1,470,000)
$
2,960,000 Updated portfolio data from servicer
07/14/2010
$
(1,560,000)
$
1,400,000 Updated portfolio data from servicer
09/30/2010
$
5,852,780
$
7,252,780 Updated portfolio data from servicer
01/06/2011
$
(11)
$
7,252,769 Updated due to quarterly assessment and reallocation
03/30/2011
$
(13)
$
7,252,756 Updated due to quarterly assessment and reallocation
04/13/2011
$
(300,000)
$
6,952,756 Transfer of cap due to servicing transfer
06/03/2011
$
(6,927,254)
$
09/30/2009
$
(10,000)
$
860,000 Updated portfolio data from servicer/additional program initial cap
12/30/2009
$
250,000
$
1,110,000 Updated portfolio data from servicer/additional program initial cap
03/26/2010
$
(10,000)
$
1,100,000 Updated portfolio data from servicer
07/14/2010
$
(400,000)
$
700,000 Updated portfolio data from servicer
09/30/2010
$
170,334
$
870,334 Updated portfolio data from servicer
01/06/2011
$
(1)
$
870,333 Updated due to quarterly assessment and reallocation
03/30/2011
$
(1)
$
870,332 Updated due to quarterly assessment and reallocation
06/29/2011
$
(12)
$
870,320 Updated due to quarterly assessment and reallocation
06/28/2012
$
(9)
$
870,311 Updated due to quarterly assessment and reallocation
09/14/2012
$
(821,722)
$
01/22/2010
$
40,000
$
03/26/2010
$
(760,000)
$
40,000 Updated portfolio data from servicer
05/12/2010
$
2,630,000
$
2,670,000 Updated portfolio data from servicer
07/14/2010
$
(770,000)
$
1,900,000 Updated portfolio data from servicer
09/30/2010
$
565,945
$
2,465,945 Updated portfolio data from servicer
01/06/2011
$
(4)
$
2,465,941 Updated due to quarterly assessment and reallocation
03/30/2011
$
(4)
$
2,465,937 Updated due to quarterly assessment and reallocation
06/29/2011
$
(40)
$
2,465,897 Updated due to quarterly assessment and reallocation
06/28/2012
$
(29)
$
2,465,868 Updated due to quarterly assessment and reallocation
09/27/2012
$
(80)
$
2,465,788 Updated due to quarterly assessment and reallocation
12/27/2012
$
(14)
$
2,465,774 Updated due to quarterly assessment and reallocation
03/25/2013
$
(52)
$
2,465,722 Updated due to quarterly assessment and reallocation
06/27/2013
$
(19)
$
2,465,703 Updated due to quarterly assessment and reallocation
09/27/2013
$
(7)
$
2,465,696 Updated due to quarterly assessment and reallocation
12/23/2013
$
(11,558)
$
2,454,138 Updated due to quarterly assessment and reallocation
03/26/2014
$
(410)
$
2,453,728 Updated due to quarterly assessment and reallocation
06/26/2014
$
(4,837)
$
2,448,891 Updated due to quarterly assessment and reallocation
07/29/2014
$
(9,607)
$
2,439,284 Updated due to quarterly assessment and reallocation
09/29/2014
$
(3,173)
$
2,436,111 Updated due to quarterly assessment and reallocation
12/29/2014
$
(374,717)
$
2,061,394 Updated due to quarterly assessment and reallocation
03/26/2015
$
(140,949)
$
1,920,445 Updated due to quarterly assessment and reallocation
730,000 Updated portfolio data from servicer/additional program initial cap
- Termination of SPA
25,502 Termination of SPA
48,589 Termination of SPA
800,000 Updated portfolio data from servicer/additional program initial cap
101
Servicer Modifying Borrowers' Loans
Date
Name of Institution
Idaho Housing and Finance
12/04/2009
Association
City
Boise
01/29/2010 iServe Residential Lending, LLC San Diego
Adjustment Details
State
ID
CA
Transaction
Type
Purchase
Purchase
Investment Description
Financial Instrument for Home Loan Modifications
Financial Instrument for Home Loan Modifications
Cap of Incentive Payments on
Behalf of Borrowers and to
Servicers & Lenders/Investors
(Cap) *
$
$
Pricing
Mechanism
9,430,000 N/A
960,000 N/A
Note
Adjustment
Date
CAP Adjustment Amount
Adjusted CAP
Reason for Adjustment
04/28/2015
$
(534,653)
$
1,385,792 Updated due to quarterly assessment and reallocation
06/25/2015
$
(128,282)
$
1,257,510 Updated due to quarterly assessment and reallocation
09/28/2015
$
(172,975)
$
1,084,535 Updated due to quarterly assessment and reallocation
12/28/2015
$
(128,015)
$
956,520 Updated due to quarterly assessment and reallocation
02/25/2016
$
(381,987)
$
574,533 Reallocation due to MHA program deobligation
03/28/2016
$
(8,288)
$
566,245 Updated due to quarterly assessment and reallocation
05/31/2016
$
(64,892)
$
501,353 Updated due to quarterly assessment and reallocation
06/27/2016
$
(39,707)
$
461,646 Updated due to quarterly assessment and reallocation
07/27/2016
$
(39,719)
$
421,927 Updated due to quarterly assessment and reallocation
09/28/2016
$
(71,882)
$
350,045 Updated due to quarterly assessment and reallocation
10/25/2016
$
(67,924)
$
282,121 Updated due to quarterly assessment and reallocation
11/07/2016
$
26,187
$
308,308 Updated due to quarterly assessment and reallocation
11/29/2016
$
(576)
$
307,732 Updated due to quarterly assessment and reallocation
12/27/2016
$
(88)
$
307,644 Transfer of cap due to servicing transfer
02/27/2017
$
(1,639)
$
306,005 Transfer of cap due to servicing transfer
04/26/2017
$
(107)
$
305,898 Transfer of cap due to servicing transfer
06/26/2017
$
(826)
$
305,072 Transfer of cap due to servicing transfer
07/26/2017
$
(25)
$
305,047 Updated due to quarterly assessment and reallocation
09/26/2017
$
(27,224)
$
277,823 Transfer of cap due to servicing transfer
10/26/2017
$
(3,376)
$
274,447 Transfer of cap due to servicing transfer
12/21/2017
$
(4,770)
$
01/22/2010
$
440,000
$
03/26/2010
$
14,480,000
$
24,350,000 Updated portfolio data from servicer
05/26/2010
$
(24,200,000)
$
150,000 Updated portfolio data from servicer
07/14/2010
$
150,000
$
300,000 Updated portfolio data from servicer
09/30/2010
$
(9,889)
$
290,111 Updated portfolio data from servicer
06/29/2011
$
(3)
$
290,108 Updated due to quarterly assessment and reallocation
06/28/2012
$
(2)
$
290,106 Updated due to quarterly assessment and reallocation
09/27/2012
$
(6)
$
290,100 Updated due to quarterly assessment and reallocation
12/27/2012
$
(1)
$
290,099 Updated due to quarterly assessment and reallocation
03/25/2013
$
(3)
$
290,096 Updated due to quarterly assessment and reallocation
06/27/2013
$
(1)
$
290,095 Updated due to quarterly assessment and reallocation
12/23/2013
$
(747)
$
289,348 Updated due to quarterly assessment and reallocation
03/26/2014
$
(26)
$
289,322 Updated due to quarterly assessment and reallocation
06/26/2014
$
(314)
$
289,008 Updated due to quarterly assessment and reallocation
07/29/2014
$
(626)
$
288,382 Updated due to quarterly assessment and reallocation
09/29/2014
$
(226)
$
288,156 Updated due to quarterly assessment and reallocation
12/29/2014
$
(18,852)
$
269,304 Updated due to quarterly assessment and reallocation
03/26/2015
$
(7,136)
$
262,168 Updated due to quarterly assessment and reallocation
04/28/2015
$
259,548
$
521,716 Updated due to quarterly assessment and reallocation
06/25/2015
$
(35)
$
521,681 Updated due to quarterly assessment and reallocation
09/28/2015
$
(1,297)
$
520,384 Updated due to quarterly assessment and reallocation
12/28/2015
$
(6,174)
$
514,210 Updated due to quarterly assessment and reallocation
02/25/2016
$
(36,778)
$
477,432 Reallocation due to MHA program deobligation
03/28/2016
$
(923)
$
476,509 Updated due to quarterly assessment and reallocation
05/31/2016
$
(9,729)
$
466,780 Updated due to quarterly assessment and reallocation
06/27/2016
$
(5,812)
$
460,968 Updated due to quarterly assessment and reallocation
07/27/2016
$
(6,934)
$
454,034 Updated due to quarterly assessment and reallocation
09/28/2016
$
(19,392)
$
434,642 Updated due to quarterly assessment and reallocation
10/25/2016
$
(18,324)
$
416,318 Updated due to quarterly assessment and reallocation
11/07/2016
$
7,065
$
423,383 Updated due to quarterly assessment and reallocation
11/29/2016
$
(301)
$
423,082 Updated due to quarterly assessment and reallocation
12/27/2016
$
(72)
$
423,010 Transfer of cap due to servicing transfer
02/27/2017
$
(568)
$
422,442 Transfer of cap due to servicing transfer
04/26/2017
$
(45)
$
422,397 Transfer of cap due to servicing transfer
06/26/2017
$
(463)
$
421,934 Transfer of cap due to servicing transfer
07/26/2017
$
(14)
$
421,920 Updated due to quarterly assessment and reallocation
09/26/2017
$
(11,449)
$
410,471 Transfer of cap due to servicing transfer
10/26/2017
$
(1,420)
$
409,051 Transfer of cap due to servicing transfer
12/21/2017
$
(2,732)
$
406,319 Transfer of cap due to servicing transfer
03/26/2010
$
(730,000)
$
230,000 Updated portfolio data from servicer
07/14/2010
$
370,000
$
600,000 Updated portfolio data from servicer
09/30/2010
$
200,000
$
800,000 Updated portfolio data from servicer/additional program initial cap
09/30/2010
$
(364,833)
$
435,167 Updated portfolio data from servicer
11/16/2010
$
100,000
$
535,167 Transfer of cap due to servicing transfer
01/06/2011
$
(1)
$
535,166 Updated due to quarterly assessment and reallocation
03/30/2011
$
(1)
$
535,165 Updated due to quarterly assessment and reallocation
06/29/2011
$
(7)
$
535,158 Updated due to quarterly assessment and reallocation
06/28/2012
$
(6)
$
535,152 Updated due to quarterly assessment and reallocation
269,677 Transfer of cap due to servicing transfer
9,870,000 Updated portfolio data from servicer/additional program initial cap
102
Servicer Modifying Borrowers' Loans
Date
Name of Institution
03/05/2010 iServe Servicing, Inc.
09/24/2010 James B. Nutter & Company
City
Irving
Kansas City
Adjustment Details
State
TX
MO
Transaction
Type
Purchase
Purchase
Investment Description
Financial Instrument for Home Loan Modifications
Financial Instrument for Home Loan Modifications
Cap of Incentive Payments on
Behalf of Borrowers and to
Servicers & Lenders/Investors
(Cap) *
$
$
Pricing
Mechanism
28,040,000 N/A
300,000 N/A
Note
Adjustment
Date
CAP Adjustment Amount
Adjusted CAP
Reason for Adjustment
09/27/2012
$
(15)
$
535,137 Updated due to quarterly assessment and reallocation
12/27/2012
$
(3)
$
535,134 Updated due to quarterly assessment and reallocation
03/25/2013
$
(10)
$
535,124 Updated due to quarterly assessment and reallocation
06/27/2013
$
(4)
$
535,120 Updated due to quarterly assessment and reallocation
09/27/2013
$
(1)
$
535,119 Updated due to quarterly assessment and reallocation
12/23/2013
$
(2,242)
$
532,877 Updated due to quarterly assessment and reallocation
03/26/2014
$
(79)
$
532,798 Updated due to quarterly assessment and reallocation
06/26/2014
$
(930)
$
531,868 Updated due to quarterly assessment and reallocation
07/29/2014
$
(1,848)
$
530,020 Updated due to quarterly assessment and reallocation
09/29/2014
$
(610)
$
529,410 Updated due to quarterly assessment and reallocation
12/29/2014
$
(73,927)
$
455,483 Updated due to quarterly assessment and reallocation
03/26/2015
$
(27,803)
$
427,680 Updated due to quarterly assessment and reallocation
04/28/2015
$
(109,586)
$
318,094 Updated due to quarterly assessment and reallocation
06/25/2015
$
(25,989)
$
292,105 Updated due to quarterly assessment and reallocation
09/28/2015
$
(34,717)
$
257,388 Updated due to quarterly assessment and reallocation
12/28/2015
$
(25,693)
$
231,695 Updated due to quarterly assessment and reallocation
02/25/2016
$
(73,376)
$
158,319 Reallocation due to MHA program deobligation
03/28/2016
$
(1,533)
$
156,786 Updated due to quarterly assessment and reallocation
05/31/2016
$
(11,996)
$
144,790 Updated due to quarterly assessment and reallocation
06/27/2016
$
(7,166)
$
137,624 Updated due to quarterly assessment and reallocation
07/27/2016
$
(7,169)
$
130,455 Updated due to quarterly assessment and reallocation
09/28/2016
$
(12,537)
$
117,918 Updated due to quarterly assessment and reallocation
10/25/2016
$
(11,846)
$
106,072 Updated due to quarterly assessment and reallocation
11/07/2016
$
4,567
$
110,639 Updated due to quarterly assessment and reallocation
11/29/2016
$
(82)
$
110,557 Updated due to quarterly assessment and reallocation
12/27/2016
$
(13)
$
110,544 Transfer of cap due to servicing transfer
02/27/2017
$
(217)
$
110,327 Transfer of cap due to servicing transfer
04/26/2017
$
(14)
$
110,313 Transfer of cap due to servicing transfer
06/26/2017
$
(109)
$
110,204 Transfer of cap due to servicing transfer
07/26/2017
$
(3)
$
110,201 Updated due to quarterly assessment and reallocation
09/26/2017
$
(4,365)
$
105,836 Transfer of cap due to servicing transfer
10/26/2017
$
(541)
$
105,295 Transfer of cap due to servicing transfer
12/21/2017
$
(564)
$
05/26/2010
$
120,000
$
28,160,000 Updated portfolio data from servicer/additional program initial cap
07/14/2010
$
(12,660,000)
$
15,500,000 Updated portfolio data from servicer
09/30/2010
$
100,000
$
15,600,000 Updated portfolio data from servicer/additional program initial cap
09/30/2010
$
(3,125,218)
$
12,474,782 Updated portfolio data from servicer
11/16/2010
$
800,000
$
13,274,782 Transfer of cap due to servicing transfer
01/06/2011
$
(20)
$
13,274,762 Updated due to quarterly assessment and reallocation
03/30/2011
$
(24)
$
13,274,738 Updated due to quarterly assessment and reallocation
06/29/2011
$
(221)
$
13,274,517 Updated due to quarterly assessment and reallocation
06/28/2012
$
(169)
$
13,274,348 Updated due to quarterly assessment and reallocation
09/27/2012
$
(465)
$
13,273,883 Updated due to quarterly assessment and reallocation
12/27/2012
$
(78)
$
13,273,805 Updated due to quarterly assessment and reallocation
03/25/2013
$
(297)
$
13,273,508 Updated due to quarterly assessment and reallocation
06/27/2013
$
(112)
$
13,273,396 Updated due to quarterly assessment and reallocation
07/16/2013
$
(10,000)
$
13,263,396 Transfer of cap due to servicing transfer
09/27/2013
$
(40)
$
13,263,356 Updated due to quarterly assessment and reallocation
11/14/2013
$
(60,000)
$
13,203,356 Updated due to quarterly assessment and reallocation
12/23/2013
$
(67,516)
$
13,135,840 Updated due to quarterly assessment and reallocation
03/26/2014
$
(2,373)
$
13,133,467 Updated due to quarterly assessment and reallocation
06/26/2014
$
(28,014)
$
13,105,453 Updated due to quarterly assessment and reallocation
07/29/2014
$
(55,640)
$
13,049,813 Updated due to quarterly assessment and reallocation
09/29/2014
$
(18,379)
$
13,031,434 Updated due to quarterly assessment and reallocation
12/29/2014
$
(2,226,283)
$
10,805,151 Updated due to quarterly assessment and reallocation
03/26/2015
$
(837,269)
$
9,967,882 Updated due to quarterly assessment and reallocation
04/02/2015
$
(9,967,882)
09/30/2010
$
135,167
$
435,167 Updated portfolio data from servicer
01/06/2011
$
(1)
$
435,166 Updated due to quarterly assessment and reallocation
03/30/2011
$
(1)
$
435,165 Updated due to quarterly assessment and reallocation
06/29/2011
$
(6)
$
435,159 Updated due to quarterly assessment and reallocation
06/28/2012
$
(4)
$
435,155 Updated due to quarterly assessment and reallocation
09/27/2012
$
(12)
$
435,143 Updated due to quarterly assessment and reallocation
12/27/2012
$
(2)
$
435,141 Updated due to quarterly assessment and reallocation
03/25/2013
$
(8)
$
435,133 Updated due to quarterly assessment and reallocation
06/27/2013
$
(3)
$
435,130 Updated due to quarterly assessment and reallocation
09/27/2013
$
(1)
$
435,129 Updated due to quarterly assessment and reallocation
12/23/2013
$
(1,727)
$
433,402 Updated due to quarterly assessment and reallocation
03/26/2014
$
(61)
$
433,341 Updated due to quarterly assessment and reallocation
104,731 Transfer of cap due to servicing transfer
- Termination of SPA
103
Servicer Modifying Borrowers' Loans
Date
Name of Institution
City
Adjustment Details
State
Transaction
Type
Investment Description
Cap of Incentive Payments on
Behalf of Borrowers and to
Servicers & Lenders/Investors
(Cap) *
Pricing
Mechanism
Note
Adjustment
Date
CAP Adjustment Amount
Lewisville
TX
Purchase
Financial Instrument for Home Loan Modifications
$
2,699,720,000 N/A
Reason for Adjustment
06/26/2014
$
(716)
$
432,625 Updated due to quarterly assessment and reallocation
07/29/2014
$
(1,423)
$
431,202 Updated due to quarterly assessment and reallocation
09/29/2014
$
(470)
$
430,732 Updated due to quarterly assessment and reallocation
12/29/2014
$
(56,939)
$
373,793 Updated due to quarterly assessment and reallocation
03/26/2015
$
(21,414)
$
352,379 Updated due to quarterly assessment and reallocation
04/28/2015
$
(84,403)
$
267,976 Updated due to quarterly assessment and reallocation
06/25/2015
$
(20,017)
$
247,959 Updated due to quarterly assessment and reallocation
09/28/2015
$
(26,739)
$
221,220 Updated due to quarterly assessment and reallocation
12/28/2015
$
(19,789)
$
201,431 Updated due to quarterly assessment and reallocation
02/25/2016
$
(56,514)
$
144,917 Reallocation due to MHA program deobligation
03/28/2016
$
(1,180)
$
143,737 Updated due to quarterly assessment and reallocation
05/31/2016
$
(9,240)
$
134,497 Updated due to quarterly assessment and reallocation
06/27/2016
$
(5,519)
$
128,978 Updated due to quarterly assessment and reallocation
07/27/2016
$
(4,874)
$
124,104 Updated due to quarterly assessment and reallocation
09/28/2016
$
(3,166)
$
120,938 Updated due to quarterly assessment and reallocation
10/25/2016
$
768,695
$
889,633 Updated due to quarterly assessment and reallocation
-
11/07/2016
07/31/2009 JP Morgan Chase Bank, NA
Adjusted CAP
$
889,633 Updated due to quarterly assessment and reallocation
11/29/2016
$
(942)
$
888,691 Updated due to quarterly assessment and reallocation
12/27/2016
$
(121)
$
888,570 Transfer of cap due to servicing transfer
02/27/2017
$
(2,763)
$
885,807 Transfer of cap due to servicing transfer
04/26/2017
$
(183)
$
885,624 Transfer of cap due to servicing transfer
06/26/2017
$
(1,501)
$
884,123 Transfer of cap due to servicing transfer
07/26/2017
$
(48)
$
884,075 Updated due to quarterly assessment and reallocation
09/26/2017
$
(55,212)
$
828,863 Transfer of cap due to servicing transfer
10/26/2017
$
(7,932)
$
820,931 Transfer of cap due to servicing transfer
12/21/2017
$
(10,591)
$
09/30/2009
$
(14,850,000)
$
2,684,870,000 Updated portfolio data from servicer/additional program initial cap
12/30/2009
$
1,178,180,000
$
3,863,050,000 Updated portfolio data from servicer/additional program initial cap
03/26/2010
$
1,006,580,000
$
4,869,630,000 Updated portfolio data from servicer/additional program initial cap
07/14/2010
$
(1,934,230,000)
$
2,935,400,000 Updated portfolio data from servicer
09/30/2010
$
72,400,000
$
3,007,800,000 Updated portfolio data from servicer/additional program initial cap
09/30/2010
$
215,625,536
$
3,223,425,536 Updated portfolio data from servicer
01/06/2011
$
(3,636)
$
3,223,421,900 Updated due to quarterly assessment and reallocation
03/16/2011
$
(100,000)
$
3,223,321,900 Transfer of cap due to servicing transfer
03/30/2011
$
(3,999)
$
3,223,317,901 Updated due to quarterly assessment and reallocation
04/13/2011
$
(200,000)
$
3,223,117,901 Transfer of cap due to servicing transfer
05/13/2011
$
122,700,000
$
3,345,817,901 Transfer of cap due to servicing transfer
06/29/2011
$
(34,606)
$
3,345,783,295 Updated due to quarterly assessment and reallocation
07/14/2011
$
600,000
$
3,346,383,295 Transfer of cap due to servicing transfer
08/16/2011
$
(400,000)
$
3,345,983,295 Transfer of cap due to servicing transfer
09/15/2011
$
(100,000)
$
3,345,883,295 Transfer of cap due to servicing transfer
10/14/2011
$
200,000
$
3,346,083,295 Transfer of cap due to servicing transfer
10/19/2011
$
519,211,309
$
3,865,294,604 Transfer of cap due to servicing transfer
11/16/2011
$
(2,800,000)
$
3,862,494,604 Transfer of cap due to servicing transfer
01/13/2012
$
(100,000)
$
3,862,394,604 Transfer of cap due to servicing transfer
02/16/2012
$
(100,000)
$
3,862,294,604 Transfer of cap due to servicing transfer
05/16/2012
$
(126,080,000)
$
3,736,214,604 Transfer of cap due to servicing transfer
06/14/2012
$
(1,620,000)
$
3,734,594,604 Transfer of cap due to servicing transfer
06/28/2012
$
(16,192)
$
3,734,578,412 Updated due to quarterly assessment and reallocation
07/16/2012
$
(2,300,000)
$
3,732,278,412 Transfer of cap due to servicing transfer
08/16/2012
$
(20,000)
$
3,732,258,412 Transfer of cap due to servicing transfer
09/27/2012
$
(37,341)
$
3,732,221,071 Updated due to quarterly assessment and reallocation
10/16/2012
$
(1,130,000)
$
3,731,091,071 Transfer of cap due to servicing transfer
11/15/2012
$
(3,770,000)
$
3,727,321,071 Transfer of cap due to servicing transfer
12/14/2012
$
(180,000)
$
3,727,141,071 Transfer of cap due to servicing transfer
12/27/2012
$
(4,535)
$
3,727,136,536 Updated due to quarterly assessment and reallocation
01/16/2013
$
(60,000)
$
3,727,076,536 Transfer of cap due to servicing transfer
02/14/2013
$
(520,000)
$
3,726,556,536 Transfer of cap due to servicing transfer
03/14/2013
$
(90,000)
$
3,726,466,536 Transfer of cap due to servicing transfer
03/25/2013
$
(14,310)
$
3,726,452,226 Updated due to quarterly assessment and reallocation
04/16/2013
$
(110,000)
$
3,726,342,226 Transfer of cap due to servicing transfer
05/16/2013
$
(120,000)
$
3,726,222,226 Transfer of cap due to servicing transfer
06/14/2013
$
(50,000)
$
3,726,172,226 Transfer of cap due to servicing transfer
06/27/2013
$
(3,778)
$
3,726,168,448 Updated due to quarterly assessment and reallocation
07/16/2013
$
(103,240,000)
$
3,622,928,448 Transfer of cap due to servicing transfer
08/15/2013
$
(20,000)
$
3,622,908,448 Transfer of cap due to servicing transfer
09/16/2013
$
(99,960,000)
$
3,522,948,448 Transfer of cap due to servicing transfer
09/27/2013
$
(724)
$
3,522,947,724 Updated due to quarterly assessment and reallocation
10/15/2013
$
(77,990,000)
$
3,444,957,724 Transfer of cap due to servicing transfer
810,340 Transfer of cap due to servicing transfer
104
Servicer Modifying Borrowers' Loans
Date
Name of Institution
City
Adjustment Details
State
Transaction
Type
Investment Description
Cap of Incentive Payments on
Behalf of Borrowers and to
Servicers & Lenders/Investors
(Cap) *
Pricing
Mechanism
Note
Adjustment
Date
CAP Adjustment Amount
Adjusted CAP
Reason for Adjustment
11/14/2013
$
(15,610,000)
$
3,429,347,724 Transfer of cap due to servicing transfer
12/16/2013
$
(50,000)
$
3,429,297,724 Transfer of cap due to servicing transfer
12/23/2013
$
(840,396)
$
3,428,457,328 Updated due to quarterly assessment and reallocation
01/16/2014
$
(5,790,000)
$
3,422,667,328 Transfer of cap due to servicing transfer
02/13/2014
$
(52,670,000)
$
3,369,997,328 Transfer of cap due to servicing transfer
03/14/2014
$
(3,730,000)
$
3,366,267,328 Transfer of cap due to servicing transfer
03/26/2014
$
(21,412)
$
3,366,245,916 Updated due to quarterly assessment and reallocation
04/16/2014
$
(14,000,000)
$
3,352,245,916 Transfer of cap due to servicing transfer
05/15/2014
$
(18,970,000)
$
3,333,275,916 Transfer of cap due to servicing transfer
06/16/2014
$
(30,170,000)
$
3,303,105,916 Transfer of cap due to servicing transfer
06/26/2014
$
(101,752)
$
3,303,004,164 Updated due to quarterly assessment and reallocation
07/16/2014
$
(12,980,000)
$
3,290,024,164 Transfer of cap due to servicing transfer
07/29/2014
$
(154,293)
$
3,289,869,871 Updated due to quarterly assessment and reallocation
08/14/2014
$
(7,180,000)
$
3,282,689,871 Transfer of cap due to servicing transfer
09/16/2014
$
(9,640,000)
$
3,273,049,871 Transfer of cap due to servicing transfer
09/29/2014
$
(18,088)
$
3,273,031,783 Updated due to quarterly assessment and reallocation
10/16/2014
$
(390,000)
$
3,272,641,783 Transfer of cap due to servicing transfer
11/14/2014
$
(10,150,000)
$
3,262,491,783 Transfer of cap due to servicing transfer
12/16/2014
$
(4,800,000)
$
3,257,691,783 Transfer of cap due to servicing transfer
12/29/2014
$
549,933,107
$
3,807,624,890 Updated due to quarterly assessment and reallocation
01/15/2015
$
(10,720,000)
$
3,796,904,890 Transfer of cap due to servicing transfer
02/13/2015
$
(4,030,000)
$
3,792,874,890 Transfer of cap due to servicing transfer
03/16/2015
$
(47,020,000)
$
3,745,854,890 Transfer of cap due to servicing transfer
03/26/2015
$
40,703,961
$
3,786,558,851 Updated due to quarterly assessment and reallocation
04/16/2015
$
(3,010,000)
$
3,783,548,851 Transfer of cap due to servicing transfer
04/28/2015
$
332,660,757
$
4,116,209,608 Updated due to quarterly assessment and reallocation
05/14/2015
$
(8,210,000)
$
4,107,999,608 Transfer of cap due to servicing transfer
06/16/2015
$
(14,130,000)
$
4,093,869,608 Transfer of cap due to servicing transfer
06/25/2015
$
40,588,882
$
4,134,458,490 Updated due to quarterly assessment and reallocation
07/16/2015
$
(17,520,000)
$
4,116,938,490 Transfer of cap due to servicing transfer
08/14/2015
$
(10,000)
$
4,116,928,490 Transfer of cap due to servicing transfer
09/16/2015
$
760,000
$
4,117,688,490 Transfer of cap due to servicing transfer
09/28/2015
$
27,225,885
$
4,144,914,375 Updated due to quarterly assessment and reallocation
10/15/2015
$
(7,740,000)
$
4,137,174,375 Transfer of cap due to servicing transfer
11/16/2015
$
(6,050,000)
$
4,131,124,375 Transfer of cap due to servicing transfer
12/16/2015
$
(1,730,000)
$
4,129,394,375 Transfer of cap due to servicing transfer
12/28/2015
$
37,401,098
$
4,166,795,473 Updated due to quarterly assessment and reallocation
01/14/2016
$
(36,700,000)
$
4,130,095,473 Transfer of cap due to servicing transfer
02/16/2016
$
(200,000)
$
4,129,895,473 Transfer of cap due to servicing transfer
02/25/2016
$
(132,520,607)
$
3,997,374,866 Reallocation due to MHA program deobligation
03/16/2016
$
(9,320,000)
$
3,988,054,866 Transfer of cap due to servicing transfer
03/28/2016
$
(2,278,595)
$
3,985,776,271 Updated due to quarterly assessment and reallocation
04/14/2016
$
(10,440,000)
$
3,975,336,271 Transfer of cap due to servicing transfer
05/16/2016
$
(6,730,000)
$
3,968,606,271 Transfer of cap due to servicing transfer
05/31/2016
$
(9,933,223)
$
3,958,673,048 Updated due to quarterly assessment and reallocation
06/16/2016
$
(12,340,000)
$
3,946,333,048 Transfer of cap due to servicing transfer
06/27/2016
$
(2,835,363)
$
3,943,497,685 Updated due to quarterly assessment and reallocation
07/14/2016
$
(4,110,000)
$
3,939,387,685 Transfer of cap due to servicing transfer
07/27/2016
$
(948,157)
$
3,938,439,528 Updated due to quarterly assessment and reallocation
08/16/2016
$
(3,580,000)
$
3,934,859,528 Transfer of cap due to servicing transfer
09/15/2016
$
(14,270,000)
$
3,920,589,528 Transfer of cap due to servicing transfer
09/28/2016
$
15,375,281
$
3,935,964,809 Updated due to quarterly assessment and reallocation
10/14/2016
$
(9,110,000)
$
3,926,854,809 Transfer of cap due to servicing transfer
10/25/2016
$
20,786,505
$
3,947,641,314 Updated due to quarterly assessment and reallocation
-
$
3,947,641,314 Updated due to quarterly assessment and reallocation
(2,100,000)
$
3,945,541,314 Transfer of cap due to servicing transfer
11/07/2016
11/16/2016
$
11/29/2016
$
(1,577,236)
$
3,943,964,078 Updated due to quarterly assessment and reallocation
12/15/2016
$
(15,070,000)
$
3,928,894,078 Transfer of cap due to servicing transfer
12/27/2016
$
(223,639)
$
3,928,670,439 Transfer of cap due to servicing transfer
01/13/2017
$
(470,000)
$
3,928,200,439 Transfer of cap due to servicing transfer
02/16/2017
$
(11,790,000)
$
3,916,410,439 Transfer of cap due to servicing transfer
02/27/2017
$
(3,770,648)
$
3,912,639,791 Transfer of cap due to servicing transfer
03/16/2017
$
(9,410,000)
$
3,903,229,791 Transfer of cap due to servicing transfer
04/26/2017
$
(247,939)
$
3,902,981,852 Transfer of cap due to servicing transfer
06/26/2017
$
(2,033,044)
$
3,900,948,808 Transfer of cap due to servicing transfer
07/26/2017
$
(62,047)
$
3,900,886,761 Updated due to quarterly assessment and reallocation
09/26/2017
$
14,201,120
$
3,915,087,881 Transfer of cap due to servicing transfer
10/26/2017
$
(774,778)
$
3,914,313,103 Transfer of cap due to servicing transfer
12/21/2017
$
32,027,195
$
3,946,340,298 Transfer of cap due to servicing transfer
105
Servicer Modifying Borrowers' Loans
Date
Name of Institution
11/15/2012 Kondaur Capital Corporation
08/05/2009 Lake City Bank
City
Orange
Warsaw
Adjustment Details
State
CA
IN
Transaction
Type
Purchase
Purchase
Investment Description
Financial Instrument for Home Loan Modifications
Financial Instrument for Home Loan Modifications
Cap of Incentive Payments on
Behalf of Borrowers and to
Servicers & Lenders/Investors
(Cap) *
$
Pricing
Mechanism
- N/A
420,000 N/A
Note
3
Adjustment
Date
CAP Adjustment Amount
Adjusted CAP
Reason for Adjustment
11/15/2012
$
30,000
$
30,000 Transfer of cap due to servicing transfer
12/14/2012
$
70,000
$
100,000 Transfer of cap due to servicing transfer
01/16/2013
$
(10,000)
$
90,000 Transfer of cap due to servicing transfer
02/14/2013
$
(10,000)
$
04/16/2013
$
(10,000)
$
70,000 Transfer of cap due to servicing transfer
05/16/2013
$
130,000
$
200,000 Transfer of cap due to servicing transfer
06/14/2013
$
(50,000)
$
150,000 Transfer of cap due to servicing transfer
07/16/2013
$
(20,000)
$
130,000 Transfer of cap due to servicing transfer
12/23/2013
$
(155)
$
03/14/2014
$
2,240,000
$
2,369,845 Transfer of cap due to servicing transfer
03/26/2014
$
(373)
$
2,369,472 Updated due to quarterly assessment and reallocation
06/26/2014
$
(4,497)
$
2,364,975 Updated due to quarterly assessment and reallocation
07/29/2014
$
(8,932)
$
2,356,043 Updated due to quarterly assessment and reallocation
09/16/2014
$
(40,000)
$
2,316,043 Transfer of cap due to servicing transfer
09/29/2014
$
(2,954)
$
2,313,089 Updated due to quarterly assessment and reallocation
11/14/2014
$
(340,000)
$
1,973,089 Transfer of cap due to servicing transfer
12/16/2014
$
(50,000)
$
1,923,089 Transfer of cap due to servicing transfer
12/29/2014
$
(296,094)
$
1,626,995 Updated due to quarterly assessment and reallocation
01/15/2015
$
(100,000)
$
1,526,995 Transfer of cap due to servicing transfer
02/13/2015
$
(20,000)
$
1,506,995 Transfer of cap due to servicing transfer
03/26/2015
$
(92,587)
$
1,414,408 Updated due to quarterly assessment and reallocation
04/16/2015
$
6,360,000
$
7,774,408 Transfer of cap due to servicing transfer
04/28/2015
$
(2,372,693)
$
5,401,715 Updated due to quarterly assessment and reallocation
05/14/2015
$
(430,000)
$
4,971,715 Transfer of cap due to servicing transfer
06/16/2015
$
(240,000)
$
4,731,715 Transfer of cap due to servicing transfer
06/25/2015
$
(505,871)
$
4,225,844 Updated due to quarterly assessment and reallocation
07/16/2015
$
(30,000)
$
4,195,844 Transfer of cap due to servicing transfer
08/14/2015
$
(160,000)
$
4,035,844 Transfer of cap due to servicing transfer
09/16/2015
$
(20,000)
$
4,015,844 Transfer of cap due to servicing transfer
09/28/2015
$
(647,986)
$
3,367,858 Updated due to quarterly assessment and reallocation
10/15/2015
$
170,000
$
3,537,858 Transfer of cap due to servicing transfer
11/16/2015
$
(260,000)
$
3,277,858 Transfer of cap due to servicing transfer
12/16/2015
$
460,000
$
3,737,858 Transfer of cap due to servicing transfer
12/28/2015
$
(546,139)
$
3,191,719 Updated due to quarterly assessment and reallocation
01/14/2016
$
50,000
$
3,241,719 Transfer of cap due to servicing transfer
02/25/2016
$
(1,600,422)
$
1,641,297 Reallocation due to MHA program deobligation
03/16/2016
$
(1,350,000)
$
291,297 Transfer of cap due to servicing transfer
03/28/2016
$
42,705
$
334,002 Updated due to quarterly assessment and reallocation
04/14/2016
$
(50,000)
$
284,002 Transfer of cap due to servicing transfer
05/16/2016
$
(50,000)
$
234,002 Transfer of cap due to servicing transfer
05/31/2016
$
285,059
$
519,061 Updated due to quarterly assessment and reallocation
06/27/2016
$
77,867
$
596,928 Updated due to quarterly assessment and reallocation
07/14/2016
$
(30,000)
$
566,928 Transfer of cap due to servicing transfer
07/27/2016
$
128,027
$
694,955 Updated due to quarterly assessment and reallocation
08/16/2016
$
(30,000)
$
664,955 Transfer of cap due to servicing transfer
09/15/2016
$
10,000
$
674,955 Transfer of cap due to servicing transfer
09/28/2016
$
(3,561)
$
671,394 Updated due to quarterly assessment and reallocation
10/25/2016
$
(31,666)
$
639,728 Updated due to quarterly assessment and reallocation
11/07/2016
$
12,208
$
651,936 Updated due to quarterly assessment and reallocation
11/16/2016
$
(30,000)
$
621,936 Transfer of cap due to servicing transfer
11/29/2016
$
(241)
$
621,695 Updated due to quarterly assessment and reallocation
12/15/2016
$
(190,000)
$
431,695 Transfer of cap due to servicing transfer
12/27/2016
$
129,527
$
561,222 Transfer of cap due to servicing transfer
01/13/2017
$
60,000
$
621,222 Transfer of cap due to servicing transfer
02/16/2017
$
(10,000)
$
611,222 Transfer of cap due to servicing transfer
02/27/2017
$
(1,265)
$
609,957 Transfer of cap due to servicing transfer
03/16/2017
$
(10,000)
$
599,957 Transfer of cap due to servicing transfer
04/26/2017
$
(148)
$
599,809 Transfer of cap due to servicing transfer
06/26/2017
$
(3,554)
$
596,255 Transfer of cap due to servicing transfer
07/26/2017
$
(108)
$
596,147 Updated due to quarterly assessment and reallocation
09/26/2017
$
(33,047)
$
563,100 Transfer of cap due to servicing transfer
10/26/2017
$
(10,253)
$
552,847 Transfer of cap due to servicing transfer
12/21/2017
$
(9,940)
$
542,907 Transfer of cap due to servicing transfer
09/30/2009
$
180,000
$
600,000 Updated portfolio data from servicer/additional program initial cap
12/30/2009
$
(350,000)
$
250,000 Updated portfolio data from servicer/additional program initial cap
03/26/2010
$
20,000
$
270,000 Updated portfolio data from servicer
07/14/2010
$
(70,000)
$
200,000 Updated portfolio data from servicer
09/30/2010
$
90,111
$
290,111 Updated portfolio data from servicer
06/29/2011
$
(3)
$
290,108 Updated due to quarterly assessment and reallocation
80,000 Transfer of cap due to servicing transfer
129,845 Updated due to quarterly assessment and reallocation
106
Servicer Modifying Borrowers' Loans
Date
Name of Institution
07/10/2009 Lake National Bank
City
Mentor
Land/Home Financial Services,
06/16/2014
Inc
Concord
01/16/2014 LenderLive Network, Inc
Glendale
Adjustment Details
State
OH
CA
CO
Transaction
Type
Purchase
Purchase
Purchase
Investment Description
Financial Instrument for Home Loan Modifications
Financial Instrument for Home Loan Modifications
Financial Instrument for Home Loan Modifications
Cap of Incentive Payments on
Behalf of Borrowers and to
Servicers & Lenders/Investors
(Cap) *
$
Pricing
Mechanism
Note
- N/A
CAP Adjustment Amount
Adjusted CAP
Reason for Adjustment
06/28/2012
$
(2)
$
290,106 Updated due to quarterly assessment and reallocation
09/27/2012
$
(7)
$
290,099 Updated due to quarterly assessment and reallocation
12/27/2012
$
(1)
$
290,098 Updated due to quarterly assessment and reallocation
03/25/2013
$
(4)
$
290,094 Updated due to quarterly assessment and reallocation
06/27/2013
$
(2)
$
290,092 Updated due to quarterly assessment and reallocation
09/27/2013
$
(1)
$
290,091 Updated due to quarterly assessment and reallocation
12/23/2013
$
(979)
$
289,112 Updated due to quarterly assessment and reallocation
03/26/2014
$
(34)
$
289,078 Updated due to quarterly assessment and reallocation
06/26/2014
$
(406)
$
288,672 Updated due to quarterly assessment and reallocation
07/29/2014
$
(807)
$
287,865 Updated due to quarterly assessment and reallocation
09/29/2014
$
(267)
$
287,598 Updated due to quarterly assessment and reallocation
12/29/2014
$
(26,057)
$
261,541 Updated due to quarterly assessment and reallocation
03/26/2015
$
(9,806)
$
251,735 Updated due to quarterly assessment and reallocation
04/28/2015
$
(17,748)
$
233,987 Updated due to quarterly assessment and reallocation
06/25/2015
$
(4,963)
$
229,024 Updated due to quarterly assessment and reallocation
09/28/2015
$
(6,649)
$
222,375 Updated due to quarterly assessment and reallocation
12/28/2015
$
(4,972)
$
217,403 Updated due to quarterly assessment and reallocation
02/25/2016
$
(23,766)
$
193,637 Reallocation due to MHA program deobligation
03/28/2016
$
(342)
$
193,295 Updated due to quarterly assessment and reallocation
05/31/2016
$
(3,960)
$
189,335 Updated due to quarterly assessment and reallocation
06/27/2016
$
(2,382)
$
186,953 Updated due to quarterly assessment and reallocation
07/27/2016
$
(3,503)
$
183,450 Updated due to quarterly assessment and reallocation
09/28/2016
$
(6,167)
$
177,283 Updated due to quarterly assessment and reallocation
10/25/2016
$
(5,892)
$
171,391 Updated due to quarterly assessment and reallocation
11/07/2016
$
2,272
$
173,663 Updated due to quarterly assessment and reallocation
11/29/2016
$
(114)
$
173,549 Updated due to quarterly assessment and reallocation
12/27/2016
$
(27)
$
173,522 Transfer of cap due to servicing transfer
02/27/2017
$
(474)
$
173,048 Transfer of cap due to servicing transfer
04/26/2017
$
(31)
$
173,017 Transfer of cap due to servicing transfer
06/26/2017
$
(298)
$
172,719 Transfer of cap due to servicing transfer
07/26/2017
$
(9)
$
172,710 Updated due to quarterly assessment and reallocation
09/26/2017
$
(8,358)
$
164,352 Transfer of cap due to servicing transfer
10/26/2017
$
(1,046)
$
163,306 Transfer of cap due to servicing transfer
12/21/2017
$
(1,736)
$
161,570 Transfer of cap due to servicing transfer
09/30/2009
$
150,000
$
250,000 Updated portfolio data from servicer/additional program initial cap
12/30/2009
$
130,000
$
380,000 Updated portfolio data from servicer/additional program initial cap
03/26/2010
$
50,000
$
430,000 Updated portfolio data from servicer
07/14/2010
$
(30,000)
$
400,000 Updated portfolio data from servicer
09/30/2010
$
35,167
$
435,167 Updated portfolio data from servicer
01/06/2011
$
(1)
$
435,166 Updated due to quarterly assessment and reallocation
03/30/2011
$
(1)
$
435,165 Updated due to quarterly assessment and reallocation
06/29/2011
$
(6)
$
435,159 Updated due to quarterly assessment and reallocation
06/28/2012
$
(4)
$
435,155 Updated due to quarterly assessment and reallocation
6
08/23/2012
$
(424,504)
$
10,651 Termination of SPA
3
06/16/2014
$
40,000
$
40,000 Transfer of cap due to servicing transfer
09/16/2014
$
20,000
07/14/2016
$
10,000
$
70,000 Transfer of cap due to servicing transfer
01/16/2014
$
100,000
$
100,000 Transfer of cap due to servicing transfer
03/14/2014
$
10,000
$
110,000 Transfer of cap due to servicing transfer
03/26/2014
$
(2)
$
109,998 Updated due to quarterly assessment and reallocation
05/15/2014
$
20,000
$
129,998 Transfer of cap due to servicing transfer
06/16/2014
$
80,000
$
209,998 Transfer of cap due to servicing transfer
06/26/2014
$
(236)
$
209,762 Updated due to quarterly assessment and reallocation
07/16/2014
$
140,000
$
349,762 Transfer of cap due to servicing transfer
07/29/2014
$
(1,069)
$
348,693 Updated due to quarterly assessment and reallocation
08/14/2014
$
60,000
$
408,693 Transfer of cap due to servicing transfer
09/29/2014
$
(438)
$
408,255 Updated due to quarterly assessment and reallocation
12/29/2014
$
(30,607)
$
377,648 Updated due to quarterly assessment and reallocation
03/26/2015
$
(11,543)
$
366,105 Updated due to quarterly assessment and reallocation
04/28/2015
$
(45,568)
$
320,537 Updated due to quarterly assessment and reallocation
06/25/2015
$
(10,869)
$
309,668 Updated due to quarterly assessment and reallocation
07/16/2015
$
10,000
$
319,668 Transfer of cap due to servicing transfer
09/28/2015
$
(16,383)
$
303,285 Updated due to quarterly assessment and reallocation
11/16/2015
$
10,000
$
313,285 Transfer of cap due to servicing transfer
12/28/2015
$
(13,791)
$
299,494 Updated due to quarterly assessment and reallocation
02/16/2016
$
360,000
$
659,494 Transfer of cap due to servicing transfer
02/25/2016
$
(251,560)
$
407,934 Reallocation due to MHA program deobligation
03/16/2016
$
20,000
$
427,934 Transfer of cap due to servicing transfer
03/28/2016
$
(5,780)
$
422,154 Updated due to quarterly assessment and reallocation
100,000 N/A
- N/A
Adjustment
Date
3
$
60,000 Transfer of cap due to servicing transfer
107
Servicer Modifying Borrowers' Loans
Date
Name of Institution
City
Adjustment Details
State
Transaction
Type
Investment Description
Cap of Incentive Payments on
Behalf of Borrowers and to
Servicers & Lenders/Investors
(Cap) *
Pricing
Mechanism
Note
Adjustment
Date
CAP Adjustment Amount
New Orleans
LA
Purchase
Financial Instrument for Home Loan Modifications
12/16/2014 Liberty Savings Bank, FSB
Wilmington
OH
Purchase
Financial Instrument for Home Loan Modifications
08/12/2009 Litton Loan Servicing, LP
Houston
TX
Purchase
Financial Instrument for Home Loan Modifications
$
1,000,000 N/A
- N/A
$
774,900,000 N/A
3
Reason for Adjustment
04/14/2016
$
(70,000)
$
352,154 Transfer of cap due to servicing transfer
05/31/2016
$
(45,497)
$
306,657 Updated due to quarterly assessment and reallocation
06/27/2016
$
(27,179)
$
279,478 Updated due to quarterly assessment and reallocation
07/27/2016
$
(27,187)
$
252,291 Updated due to quarterly assessment and reallocation
09/28/2016
$
(47,546)
$
204,745 Updated due to quarterly assessment and reallocation
-
$
204,745 Transfer of cap due to servicing transfer
10/14/2016
09/30/2010 Liberty Bank and Trust Co
Adjusted CAP
10/25/2016
$
(44,928)
$
159,817 Updated due to quarterly assessment and reallocation
11/07/2016
$
17,322
$
177,139 Updated due to quarterly assessment and reallocation
11/29/2016
$
(369)
$
176,770 Updated due to quarterly assessment and reallocation
12/27/2016
$
(56)
$
176,714 Transfer of cap due to servicing transfer
02/27/2017
$
(978)
$
175,736 Transfer of cap due to servicing transfer
04/26/2017
$
(64)
$
175,672 Transfer of cap due to servicing transfer
06/26/2017
$
(493)
$
175,179 Transfer of cap due to servicing transfer
07/26/2017
$
(15)
$
175,164 Updated due to quarterly assessment and reallocation
09/26/2017
$
(16,420)
$
158,744 Transfer of cap due to servicing transfer
10/26/2017
$
(2,036)
$
12/21/2017
$
(2,121)
$
09/30/2010
$
450,556
$
1,450,556 Updated portfolio data from servicer
01/06/2011
$
(2)
$
1,450,554 Updated due to quarterly assessment and reallocation
03/30/2011
$
(2)
$
1,450,552 Updated due to quarterly assessment and reallocation
06/29/2011
$
(23)
$
1,450,529 Updated due to quarterly assessment and reallocation
06/28/2012
$
(17)
$
1,450,512 Updated due to quarterly assessment and reallocation
09/27/2012
$
(48)
$
1,450,464 Updated due to quarterly assessment and reallocation
12/27/2012
$
(8)
$
1,450,456 Updated due to quarterly assessment and reallocation
03/25/2013
$
(30)
$
1,450,426 Updated due to quarterly assessment and reallocation
06/27/2013
$
(11)
$
1,450,415 Updated due to quarterly assessment and reallocation
09/27/2013
$
(4)
$
1,450,411 Updated due to quarterly assessment and reallocation
12/23/2013
$
(6,958)
$
1,443,453 Updated due to quarterly assessment and reallocation
03/26/2014
$
(245)
$
1,443,208 Updated due to quarterly assessment and reallocation
06/26/2014
$
(2,887)
$
1,440,321 Updated due to quarterly assessment and reallocation
07/29/2014
$
(5,734)
$
1,434,587 Updated due to quarterly assessment and reallocation
09/29/2014
$
(1,894)
$
1,432,693 Updated due to quarterly assessment and reallocation
12/29/2014
$
(229,437)
$
1,203,256 Updated due to quarterly assessment and reallocation
03/26/2015
$
(86,288)
$
1,116,968 Updated due to quarterly assessment and reallocation
04/28/2015
$
(340,104)
$
776,864 Updated due to quarterly assessment and reallocation
06/25/2015
$
(80,659)
$
696,205 Updated due to quarterly assessment and reallocation
09/28/2015
$
(107,746)
$
588,459 Updated due to quarterly assessment and reallocation
12/28/2015
$
(79,741)
$
508,718 Updated due to quarterly assessment and reallocation
02/25/2016
$
(227,724)
$
280,994 Reallocation due to MHA program deobligation
03/28/2016
$
(4,757)
$
276,237 Updated due to quarterly assessment and reallocation
05/31/2016
$
(37,231)
$
239,006 Updated due to quarterly assessment and reallocation
06/27/2016
$
(22,241)
$
216,765 Updated due to quarterly assessment and reallocation
07/27/2016
$
(22,248)
$
194,517 Updated due to quarterly assessment and reallocation
09/28/2016
$
(38,907)
$
155,610 Updated due to quarterly assessment and reallocation
10/25/2016
$
(36,765)
$
118,845 Updated due to quarterly assessment and reallocation
11/07/2016
$
14,174
$
133,019 Updated due to quarterly assessment and reallocation
11/29/2016
$
(254)
$
132,765 Updated due to quarterly assessment and reallocation
12/27/2016
$
(39)
$
132,726 Transfer of cap due to servicing transfer
02/27/2017
$
(674)
$
132,052 Transfer of cap due to servicing transfer
04/26/2017
$
(44)
$
132,008 Transfer of cap due to servicing transfer
06/26/2017
$
(340)
$
131,668 Transfer of cap due to servicing transfer
07/26/2017
$
(10)
$
131,658 Updated due to quarterly assessment and reallocation
08/16/2017
$
(131,658)
12/16/2014
$
10,000
156,708 Transfer of cap due to servicing transfer
154,587 Transfer of cap due to servicing transfer
- Termination of SPA
$
10,000 Transfer of cap due to servicing transfer
08/16/2017
$
(10,000)
09/30/2009
$
313,050,000
$
1,087,950,000 Updated portfolio data from servicer/additional program initial cap
12/30/2009
$
- Termination of SPA
275,370,000
$
1,363,320,000 Updated portfolio data from servicer/additional program initial cap
03/26/2010
$
278,910,000
$
1,642,230,000 Updated portfolio data from servicer
07/14/2010
$
(474,730,000)
$
1,167,500,000 Updated portfolio data from servicer
08/13/2010
$
(700,000)
$
1,166,800,000 Transfer of cap due to servicing transfer
09/15/2010
$
(1,000,000)
$
1,165,800,000 Transfer of cap due to servicing transfer
09/30/2010
$
(115,017,236)
$
1,050,782,764 Updated portfolio data from servicer
10/15/2010
$
(800,000)
$
1,049,982,764 Transfer of cap due to servicing transfer
12/15/2010
$
800,000
$
1,050,782,764 Transfer of cap due to servicing transfer
01/06/2011
$
(1,286)
$
1,050,781,478 Updated due to quarterly assessment and reallocation
03/16/2011
$
8,800,000
$
1,059,581,478 Transfer of cap due to servicing transfer
03/30/2011
$
(1,470)
$
1,059,580,008 Updated due to quarterly assessment and reallocation
04/13/2011
$
(3,300,000)
$
1,056,280,008 Transfer of cap due to servicing transfer
05/13/2011
$
(300,000)
$
1,055,980,008 Transfer of cap due to servicing transfer
108
Servicer Modifying Borrowers' Loans
Date
Name of Institution
City
Adjustment Details
State
Transaction
Type
Investment Description
Cap of Incentive Payments on
Behalf of Borrowers and to
Servicers & Lenders/Investors
(Cap) *
Pricing
Mechanism
Note
12
11/06/2009 Los Alamos National Bank
09/30/2010 M&T Bank
Los Alamos
Buffalo
NM
NY
Purchase
Purchase
Financial Instrument for Home Loan Modifications
Financial Instrument for Home Loan Modifications
$
$
700,000 N/A
700,000 N/A
Adjustment
Date
CAP Adjustment Amount
Adjusted CAP
Reason for Adjustment
06/16/2011
$
(700,000)
$
1,055,280,008 Transfer of cap due to servicing transfer
06/29/2011
$
(13,097)
$
1,055,266,911 Updated due to quarterly assessment and reallocation
07/14/2011
$
(200,000)
$
1,055,066,911 Transfer of cap due to servicing transfer
09/15/2011
$
(2,900,000)
$
1,052,166,911 Transfer of cap due to servicing transfer
10/14/2011
$
(300,000)
$
1,051,866,911 Transfer of cap due to servicing transfer
11/16/2011
$
(500,000)
$
1,051,366,911 Transfer of cap due to servicing transfer
12/15/2011
$
(2,600,000)
$
1,048,766,911 Transfer of cap due to servicing transfer
01/13/2012
$
(194,800,000)
$
853,966,911 Transfer of cap due to servicing transfer
02/16/2012
$
(400,000)
$
853,566,911 Transfer of cap due to servicing transfer
06/28/2012
$
(9,728)
$
853,557,183 Updated due to quarterly assessment and reallocation
08/16/2012
$
(7,990,000)
$
845,567,183 Transfer of cap due to servicing transfer
09/27/2012
$
(26,467)
$
845,540,716 Updated due to quarterly assessment and reallocation
12/27/2012
$
(4,466)
$
845,536,250 Updated due to quarterly assessment and reallocation
03/25/2013
$
(16,922)
$
845,519,328 Updated due to quarterly assessment and reallocation
06/27/2013
$
(6,386)
$
845,512,942 Updated due to quarterly assessment and reallocation
09/27/2013
$
(2,289)
$
845,510,653 Updated due to quarterly assessment and reallocation
12/16/2013
$
(60,000)
$
845,450,653 Transfer of cap due to servicing transfer
12/23/2013
$
(3,864,503)
$
841,586,150 Updated due to quarterly assessment and reallocation
01/16/2014
$
(30,000)
$
841,556,150 Transfer of cap due to servicing transfer
01/31/2014
$
(765,231,390)
$
01/22/2010
$
40,000
$
740,000 Updated portfolio data from servicer/additional program initial cap
03/26/2010
$
50,000
$
790,000 Updated portfolio data from servicer
07/14/2010
$
1,310,000
$
2,100,000 Updated portfolio data from servicer
09/30/2010
$
75,834
$
2,175,834 Updated portfolio data from servicer
01/06/2011
$
(3)
$
2,175,831 Updated due to quarterly assessment and reallocation
03/30/2011
$
(4)
$
2,175,827 Updated due to quarterly assessment and reallocation
06/29/2011
$
(35)
$
2,175,792 Updated due to quarterly assessment and reallocation
06/28/2012
$
(26)
$
2,175,766 Updated due to quarterly assessment and reallocation
09/27/2012
$
(70)
$
2,175,696 Updated due to quarterly assessment and reallocation
12/27/2012
$
(12)
$
2,175,684 Updated due to quarterly assessment and reallocation
03/25/2013
$
(45)
$
2,175,639 Updated due to quarterly assessment and reallocation
06/27/2013
$
(17)
$
2,175,622 Updated due to quarterly assessment and reallocation
09/27/2013
$
(6)
$
2,175,616 Updated due to quarterly assessment and reallocation
12/23/2013
$
(9,932)
$
2,165,684 Updated due to quarterly assessment and reallocation
03/26/2014
$
(346)
$
2,165,338 Updated due to quarterly assessment and reallocation
06/26/2014
$
(4,087)
$
2,161,251 Updated due to quarterly assessment and reallocation
07/29/2014
$
(8,119)
$
2,153,132 Updated due to quarterly assessment and reallocation
09/29/2014
$
(2,682)
$
2,150,450 Updated due to quarterly assessment and reallocation
12/29/2014
$
(306,175)
$
1,844,275 Updated due to quarterly assessment and reallocation
03/26/2015
$
(116,051)
$
1,728,224 Updated due to quarterly assessment and reallocation
04/28/2015
$
(350,852)
$
1,377,372 Updated due to quarterly assessment and reallocation
06/25/2015
$
(83,233)
$
1,294,139 Updated due to quarterly assessment and reallocation
09/28/2015
$
(111,184)
$
1,182,955 Updated due to quarterly assessment and reallocation
12/28/2015
$
(82,285)
$
1,100,670 Updated due to quarterly assessment and reallocation
02/25/2016
$
(266,057)
$
834,613 Reallocation due to MHA program deobligation
03/28/2016
$
(5,558)
$
829,055 Updated due to quarterly assessment and reallocation
05/31/2016
$
(47,268)
$
781,787 Updated due to quarterly assessment and reallocation
06/27/2016
$
(27,327)
$
754,460 Updated due to quarterly assessment and reallocation
07/27/2016
$
(28,475)
$
725,985 Updated due to quarterly assessment and reallocation
09/28/2016
$
(57,411)
$
668,574 Updated due to quarterly assessment and reallocation
10/25/2016
$
(65,917)
$
602,657 Updated due to quarterly assessment and reallocation
11/07/2016
$
25,413
$
628,070 Updated due to quarterly assessment and reallocation
11/29/2016
$
(699)
$
627,371 Updated due to quarterly assessment and reallocation
12/27/2016
$
(113)
$
627,258 Transfer of cap due to servicing transfer
02/27/2017
$
(2,081)
$
625,177 Transfer of cap due to servicing transfer
04/26/2017
$
(136)
$
625,041 Transfer of cap due to servicing transfer
06/26/2017
$
(1,049)
$
623,992 Transfer of cap due to servicing transfer
07/26/2017
$
(32)
$
623,960 Updated due to quarterly assessment and reallocation
09/26/2017
$
(28,606)
$
595,354 Transfer of cap due to servicing transfer
10/26/2017
$
(4,093)
$
591,261 Transfer of cap due to servicing transfer
12/21/2017
$
(4,264)
$
09/30/2010
$
315,389
$
1,015,389 Updated portfolio data from servicer
01/06/2011
$
(1)
$
1,015,388 Updated due to quarterly assessment and reallocation
03/30/2011
$
(1)
$
1,015,387 Updated due to quarterly assessment and reallocation
06/29/2011
$
(11)
$
1,015,376 Updated due to quarterly assessment and reallocation
06/28/2012
$
(11)
$
1,015,365 Updated due to quarterly assessment and reallocation
09/27/2012
$
(30)
$
1,015,335 Updated due to quarterly assessment and reallocation
12/27/2012
$
(5)
$
1,015,330 Updated due to quarterly assessment and reallocation
03/25/2013
$
(20)
$
1,015,310 Updated due to quarterly assessment and reallocation
76,324,760 Termination of SPA
586,997 Transfer of cap due to servicing transfer
109
Servicer Modifying Borrowers' Loans
Date
Name of Institution
09/30/2010 Magna Bank
City
Germantown
Adjustment Details
State
TN
Transaction
Type
Purchase
Investment Description
Financial Instrument for Home Loan Modifications
Cap of Incentive Payments on
Behalf of Borrowers and to
Servicers & Lenders/Investors
(Cap) *
$
Pricing
Mechanism
1,400,000 N/A
Note
Adjustment
Date
CAP Adjustment Amount
Adjusted CAP
Reason for Adjustment
06/27/2013
$
(7)
$
1,015,303 Updated due to quarterly assessment and reallocation
09/27/2013
$
(3)
$
1,015,300 Updated due to quarterly assessment and reallocation
12/23/2013
$
(4,381)
$
1,010,919 Updated due to quarterly assessment and reallocation
02/13/2014
$
1,280,000
$
2,290,919 Transfer of cap due to servicing transfer
03/26/2014
$
125,146
$
2,416,065 Updated due to quarterly assessment and reallocation
04/16/2014
$
20,000
$
2,436,065 Transfer of cap due to servicing transfer
05/15/2014
$
80,000
$
2,516,065 Transfer of cap due to servicing transfer
06/16/2014
$
140,000
$
2,656,065 Transfer of cap due to servicing transfer
06/26/2014
$
230,716
$
2,886,781 Updated due to quarterly assessment and reallocation
07/29/2014
$
688,320
$
3,575,101 Updated due to quarterly assessment and reallocation
08/14/2014
$
2,310,000
$
5,885,101 Transfer of cap due to servicing transfer
09/16/2014
$
20,000
$
5,905,101 Transfer of cap due to servicing transfer
09/29/2014
$
1,468,864
$
7,373,965 Updated due to quarterly assessment and reallocation
11/14/2014
$
60,000
$
12/29/2014
$
5,916,728
$
13,350,693 Updated due to quarterly assessment and reallocation
03/26/2015
$
3,793,179
$
17,143,872 Updated due to quarterly assessment and reallocation
04/28/2015
$
(253,976)
$
16,889,896 Updated due to quarterly assessment and reallocation
06/25/2015
$
2,727,797
$
19,617,693 Updated due to quarterly assessment and reallocation
09/28/2015
$
4,943,712
$
24,561,405 Updated due to quarterly assessment and reallocation
11/16/2015
$
830,000
$
25,391,405 Transfer of cap due to servicing transfer
12/16/2015
$
20,000
$
25,411,405 Transfer of cap due to servicing transfer
12/28/2015
$
(112,429)
$
25,298,976 Updated due to quarterly assessment and reallocation
02/16/2016
$
1,180,000
$
26,478,976 Transfer of cap due to servicing transfer
02/25/2016
$
(2,303,668)
$
24,175,308 Reallocation due to MHA program deobligation
03/28/2016
$
(44,805)
$
24,130,503 Updated due to quarterly assessment and reallocation
05/16/2016
$
10,000
$
24,140,503 Transfer of cap due to servicing transfer
05/31/2016
$
448,012
$
24,588,515 Updated due to quarterly assessment and reallocation
06/27/2016
$
1,299,823
$
25,888,338 Updated due to quarterly assessment and reallocation
07/27/2016
$
(13,882)
$
25,874,456 Updated due to quarterly assessment and reallocation
09/28/2016
$
(280,484)
$
25,593,972 Updated due to quarterly assessment and reallocation
10/14/2016
$
20,000
$
25,613,972 Transfer of cap due to servicing transfer
10/25/2016
$
(680,363)
$
24,933,609 Updated due to quarterly assessment and reallocation
11/07/2016
$
262,304
$
25,195,913 Updated due to quarterly assessment and reallocation
11/29/2016
$
(17,145)
$
25,178,768 Updated due to quarterly assessment and reallocation
12/15/2016
$
(470,000)
$
24,708,768 Transfer of cap due to servicing transfer
12/27/2016
$
(2,948)
$
24,705,820 Transfer of cap due to servicing transfer
02/27/2017
$
(58,076)
$
24,647,744 Transfer of cap due to servicing transfer
04/26/2017
$
(2,553)
$
24,645,191 Transfer of cap due to servicing transfer
06/26/2017
$
(14,101)
$
24,631,090 Transfer of cap due to servicing transfer
07/26/2017
$
(414)
$
24,630,676 Updated due to quarterly assessment and reallocation
09/26/2017
$
(67,086)
$
24,563,590 Transfer of cap due to servicing transfer
10/26/2017
$
(36,036)
$
24,527,554 Transfer of cap due to servicing transfer
12/21/2017
$
(78,558)
$
24,448,996 Transfer of cap due to servicing transfer
09/30/2010
$
630,778
$
2,030,778 Updated portfolio data from servicer
01/06/2011
$
(3)
$
2,030,775 Updated due to quarterly assessment and reallocation
03/30/2011
$
(3)
$
2,030,772 Updated due to quarterly assessment and reallocation
06/29/2011
$
(33)
$
2,030,739 Updated due to quarterly assessment and reallocation
06/28/2012
$
(25)
$
2,030,714 Updated due to quarterly assessment and reallocation
09/27/2012
$
(68)
$
2,030,646 Updated due to quarterly assessment and reallocation
12/27/2012
$
(11)
$
2,030,635 Updated due to quarterly assessment and reallocation
03/25/2013
$
(44)
$
2,030,591 Updated due to quarterly assessment and reallocation
06/27/2013
$
(16)
$
2,030,575 Updated due to quarterly assessment and reallocation
09/27/2013
$
(6)
$
2,030,569 Updated due to quarterly assessment and reallocation
12/23/2013
$
(9,947)
$
2,020,622 Updated due to quarterly assessment and reallocation
03/26/2014
$
(350)
$
2,020,272 Updated due to quarterly assessment and reallocation
06/26/2014
$
(4,127)
$
2,016,145 Updated due to quarterly assessment and reallocation
07/29/2014
$
(8,198)
$
2,007,947 Updated due to quarterly assessment and reallocation
09/29/2014
$
(2,708)
$
2,005,239 Updated due to quarterly assessment and reallocation
12/29/2014
$
(328,007)
$
1,677,232 Updated due to quarterly assessment and reallocation
03/26/2015
$
(123,358)
$
1,553,874 Updated due to quarterly assessment and reallocation
04/28/2015
$
(486,219)
$
1,067,655 Updated due to quarterly assessment and reallocation
06/25/2015
$
(115,312)
$
952,343 Updated due to quarterly assessment and reallocation
09/28/2015
$
(154,035)
$
798,308 Updated due to quarterly assessment and reallocation
12/28/2015
$
(113,998)
$
684,310 Updated due to quarterly assessment and reallocation
02/25/2016
$
(325,557)
$
358,753 Reallocation due to MHA program deobligation
03/28/2016
$
(6,800)
$
351,953 Updated due to quarterly assessment and reallocation
05/31/2016
$
(53,226)
$
298,727 Updated due to quarterly assessment and reallocation
06/27/2016
$
(31,796)
$
266,931 Updated due to quarterly assessment and reallocation
07/27/2016
$
(31,806)
$
235,125 Updated due to quarterly assessment and reallocation
7,433,965 Transfer of cap due to servicing transfer
110
Servicer Modifying Borrowers' Loans
Date
Name of Institution
City
Adjustment Details
State
Transaction
Type
Investment Description
Cap of Incentive Payments on
Behalf of Borrowers and to
Servicers & Lenders/Investors
(Cap) *
Pricing
Mechanism
06/15/2017 Mainsource Bank
Greensburg
IN
Purchase
Financial Instrument for Home Loan Modifications
$
1 N/A
09/30/2010 Mainstreet Credit Union
Lexena
KS
Purchase
Financial Instrument for Home Loan Modifications
$
500,000 N/A
11/25/2009 Marix Servicing, LLC
Phoenix
AZ
Purchase
Financial Instrument for Home Loan Modifications
$
20,360,000 N/A
Note
3
Adjustment
Date
CAP Adjustment Amount
Adjusted CAP
Reason for Adjustment
08/04/2016
$
(235,125)
06/26/2017
$
5,555
$
09/26/2017
$
326
$
09/30/2010
$
225,278
$
01/06/2011
$
(1)
$
03/09/2011
$
(725,277)
01/22/2010
$
950,000
$
03/26/2010
$
(17,880,000)
$
3,430,000 Updated portfolio data from servicer
06/16/2010
$
1,030,000
$
4,460,000 Transfer of cap due to servicing transfer
07/14/2010
$
(1,160,000)
$
3,300,000 Updated portfolio data from servicer
08/13/2010
$
800,000
$
4,100,000 Transfer of cap due to servicing transfer
09/30/2010
$
200,000
$
4,300,000 Updated portfolio data from servicer/additional program initial cap
09/30/2010
$
1,357,168
$
5,657,168 Updated portfolio data from servicer
01/06/2011
$
(1)
$
03/16/2011
$
5,700,000
$
11,357,167 Transfer of cap due to servicing transfer
03/30/2011
$
(6)
$
11,357,161 Updated due to quarterly assessment and reallocation
04/13/2011
$
7,300,000
$
18,657,161 Transfer of cap due to servicing transfer
05/13/2011
$
300,000
$
18,957,161 Transfer of cap due to servicing transfer
06/16/2011
$
900,000
$
19,857,161 Transfer of cap due to servicing transfer
06/29/2011
$
(154)
$
19,857,007 Updated due to quarterly assessment and reallocation
07/14/2011
$
100,000
$
19,957,007 Transfer of cap due to servicing transfer
08/16/2011
$
300,000
$
20,257,007 Transfer of cap due to servicing transfer
01/13/2012
$
(1,500,000)
$
18,757,007 Transfer of cap due to servicing transfer
02/16/2012
$
(2,100,000)
$
16,657,007 Transfer of cap due to servicing transfer
04/16/2012
$
(1,300,000)
$
15,357,007 Transfer of cap due to servicing transfer
06/14/2012
$
(8,350,000)
$
7,007,007 Transfer of cap due to servicing transfer
06/28/2012
$
(38)
$
7,006,969 Updated due to quarterly assessment and reallocation
08/16/2012
$
(90,000)
$
6,916,969 Transfer of cap due to servicing transfer
09/27/2012
$
(103)
$
6,916,866 Updated due to quarterly assessment and reallocation
10/16/2012
$
(1,020,000)
$
5,896,866 Transfer of cap due to servicing transfer
11/15/2012
$
170,000
$
6,066,866 Transfer of cap due to servicing transfer
12/27/2012
$
(15)
$
6,066,851 Updated due to quarterly assessment and reallocation
02/14/2013
$
(100,000)
$
5,966,851 Transfer of cap due to servicing transfer
03/14/2013
$
(490,000)
$
5,476,851 Transfer of cap due to servicing transfer
03/25/2013
$
(61)
$
5,476,790 Updated due to quarterly assessment and reallocation
04/16/2013
$
(10,000)
$
5,466,790 Transfer of cap due to servicing transfer
05/16/2013
$
(30,000)
$
5,436,790 Transfer of cap due to servicing transfer
06/14/2013
$
(10,000)
$
5,426,790 Transfer of cap due to servicing transfer
06/27/2013
$
(23)
$
5,426,767 Updated due to quarterly assessment and reallocation
07/16/2013
$
(20,000)
$
5,406,767 Transfer of cap due to servicing transfer
09/27/2013
$
(8)
$
5,406,759 Updated due to quarterly assessment and reallocation
12/23/2013
$
(13,934)
$
5,392,825 Updated due to quarterly assessment and reallocation
03/26/2014
$
(490)
$
5,392,335 Updated due to quarterly assessment and reallocation
06/26/2014
$
(5,781)
$
5,386,554 Updated due to quarterly assessment and reallocation
07/29/2014
$
(11,483)
$
5,375,071 Updated due to quarterly assessment and reallocation
09/29/2014
$
(3,793)
$
5,371,278 Updated due to quarterly assessment and reallocation
12/29/2014
$
(459,453)
$
4,911,825 Updated due to quarterly assessment and reallocation
03/26/2015
$
(172,793)
$
4,739,032 Updated due to quarterly assessment and reallocation
04/28/2015
$
(681,066)
$
4,057,966 Updated due to quarterly assessment and reallocation
06/25/2015
$
(161,522)
$
3,896,444 Updated due to quarterly assessment and reallocation
09/28/2015
$
(215,764)
$
3,680,680 Updated due to quarterly assessment and reallocation
12/28/2015
$
(159,682)
$
3,520,998 Updated due to quarterly assessment and reallocation
02/25/2016
$
(544,595)
$
2,976,403 Reallocation due to MHA program deobligation
03/28/2016
$
(11,376)
$
2,965,027 Updated due to quarterly assessment and reallocation
05/31/2016
$
(89,037)
$
2,875,990 Updated due to quarterly assessment and reallocation
06/27/2016
$
(53,189)
$
2,822,801 Updated due to quarterly assessment and reallocation
07/27/2016
$
(53,205)
$
2,769,596 Updated due to quarterly assessment and reallocation
09/28/2016
$
(93,046)
$
2,676,550 Updated due to quarterly assessment and reallocation
10/25/2016
$
(87,922)
$
2,588,628 Updated due to quarterly assessment and reallocation
11/07/2016
$
33,897
$
2,622,525 Updated due to quarterly assessment and reallocation
11/29/2016
$
(1,697)
$
2,620,828 Updated due to quarterly assessment and reallocation
12/27/2016
$
(259)
$
2,620,569 Transfer of cap due to servicing transfer
02/27/2017
$
(4,495)
$
2,616,074 Transfer of cap due to servicing transfer
04/26/2017
$
(295)
$
2,615,779 Transfer of cap due to servicing transfer
06/26/2017
$
(2,265)
$
2,613,514 Transfer of cap due to servicing transfer
07/26/2017
$
(69)
$
2,613,445 Updated due to quarterly assessment and reallocation
09/26/2017
$
(29,902)
$
2,583,543 Transfer of cap due to servicing transfer
10/26/2017
$
(3,708)
$
2,579,835 Transfer of cap due to servicing transfer
12/21/2017
$
(3,863)
$
2,575,972 Transfer of cap due to servicing transfer
- Termination of SPA
5,556 Updated due to quarterly assessment and reallocation
5,882 Transfer of cap due to servicing transfer
725,278 Updated portfolio data from servicer
725,277 Updated due to quarterly assessment and reallocation
- Termination of SPA
21,310,000 Updated portfolio data from servicer/additional program initial cap
5,657,167 Updated due to quarterly assessment and reallocation
111
Servicer Modifying Borrowers' Loans
Date
Name of Institution
09/30/2010 Marsh Associates, Inc.
Maryland Community
12/15/2016
Development Administration
01/13/2017 Matrix Financial Services Corp
Members Mortgage Company,
Inc
09/11/2009 Metropolitan National Bank
10/28/2009
09/30/2010
Mid America Mortgage, Inc.
(Schmidt Mortgage Company)
MidFirst Bank (Midland
09/30/2010
Mortgage Co )
City
Charlotte
Lanham
Phoenix
Adjustment Details
State
NC
MD
AZ
Transaction
Type
Purchase
Purchase
Purchase
Investment Description
Financial Instrument for Home Loan Modifications
Cap of Incentive Payments on
Pricing
Behalf of Borrowers and to
Mechanism
Servicers & Lenders/Investors
(Cap) *
$
100,000 N/A
Financial Instrument for Home Loan Modifications
- N/A
Financial Instrument for Home Loan Modifications
- N/A
Note
3
3
Adjustment
Date
CAP Adjustment Amount
Adjusted CAP
Reason for Adjustment
09/30/2010
$
45,056
$
145,056 Updated portfolio data from servicer
06/29/2011
$
(1)
$
145,055 Updated due to quarterly assessment and reallocation
06/28/2012
$
(1)
$
145,054 Updated due to quarterly assessment and reallocation
09/27/2012
$
(1)
$
145,053 Updated due to quarterly assessment and reallocation
03/25/2013
$
(1)
$
145,052 Updated due to quarterly assessment and reallocation
10/15/2013
$
(60,000)
$
85,052 Transfer of cap due to servicing transfer
12/15/2016
$
470,000
$
470,000 Transfer of cap due to servicing transfer
12/27/2016
$
8,805
$
478,805 Transfer of cap due to servicing transfer
02/27/2017
$
(1,995)
$
476,810 Transfer of cap due to servicing transfer
04/26/2017
$
(145)
$
476,665 Transfer of cap due to servicing transfer
06/26/2017
$
(1,268)
$
475,397 Transfer of cap due to servicing transfer
07/26/2017
$
(38)
$
475,359 Updated due to quarterly assessment and reallocation
09/26/2017
$
(41,856)
$
433,503 Transfer of cap due to servicing transfer
10/26/2017
$
(5,233)
$
428,270 Transfer of cap due to servicing transfer
12/21/2017
$
(1,395)
$
426,875 Transfer of cap due to servicing transfer
01/13/2017
$
500,000
$
500,000 Transfer of cap due to servicing transfer
02/27/2017
$
(4,779)
$
495,221 Transfer of cap due to servicing transfer
04/26/2017
$
(329)
$
494,892 Transfer of cap due to servicing transfer
06/26/2017
$
(2,453)
$
492,439 Transfer of cap due to servicing transfer
07/26/2017
$
(74)
$
492,365 Updated due to quarterly assessment and reallocation
09/26/2017
$
(94,739)
$
397,626 Transfer of cap due to servicing transfer
10/26/2017
$
(12,824)
$
384,802 Transfer of cap due to servicing transfer
12/21/2017
$
(14,164)
$
370,638 Transfer of cap due to servicing transfer
350,000 Updated portfolio data from servicer/additional program initial cap
Woburn
MA
Purchase
Financial Instrument for Home Loan Modifications
$
510,000 N/A
04/21/2010
$
(510,000)
Little Rock
AR
Purchase
Financial Instrument for Home Loan Modifications
$
280,000 N/A
10/02/2009
$
70,000
$
12/30/2009
$
620,000
$
03/26/2010
$
100,000
$
1,070,000 Updated portfolio data from servicer
07/14/2010
$
(670,000)
$
400,000 Updated portfolio data from servicer
09/30/2010
$
35,167
$
435,167 Updated portfolio data from servicer
01/06/2011
$
(1)
$
435,166 Updated due to quarterly assessment and reallocation
01/26/2011
$
(435,166)
09/30/2010
$
45,056
$
145,056 Updated portfolio data from servicer
06/29/2011
$
(1)
$
145,055 Updated due to quarterly assessment and reallocation
06/28/2012
$
(1)
$
145,054 Updated due to quarterly assessment and reallocation
09/27/2012
$
(2)
$
145,052 Updated due to quarterly assessment and reallocation
03/25/2013
$
(1)
$
145,051 Updated due to quarterly assessment and reallocation
12/23/2013
$
(232)
$
144,819 Updated due to quarterly assessment and reallocation
03/26/2014
$
(8)
$
144,811 Updated due to quarterly assessment and reallocation
06/26/2014
$
(96)
$
144,715 Updated due to quarterly assessment and reallocation
07/29/2014
$
(191)
$
144,524 Updated due to quarterly assessment and reallocation
09/29/2014
$
(63)
$
144,461 Updated due to quarterly assessment and reallocation
12/29/2014
$
(7,654)
$
136,807 Updated due to quarterly assessment and reallocation
03/26/2015
$
(2,879)
$
133,928 Updated due to quarterly assessment and reallocation
04/28/2015
$
(11,347)
$
122,581 Updated due to quarterly assessment and reallocation
06/25/2015
$
(2,691)
$
119,890 Updated due to quarterly assessment and reallocation
09/28/2015
$
(3,595)
$
116,295 Updated due to quarterly assessment and reallocation
12/28/2015
$
(2,660)
$
113,635 Updated due to quarterly assessment and reallocation
02/25/2016
$
(7,597)
$
106,038 Reallocation due to MHA program deobligation
03/28/2016
$
(159)
$
105,879 Updated due to quarterly assessment and reallocation
05/31/2016
$
(1,242)
$
104,637 Updated due to quarterly assessment and reallocation
06/27/2016
$
(742)
$
103,895 Updated due to quarterly assessment and reallocation
07/27/2016
$
(742)
$
103,153 Updated due to quarterly assessment and reallocation
09/28/2016
$
(1,298)
$
101,855 Updated due to quarterly assessment and reallocation
10/25/2016
$
(1,226)
$
100,629 Updated due to quarterly assessment and reallocation
11/07/2016
$
472
$
101,101 Updated due to quarterly assessment and reallocation
11/29/2016
$
(8)
$
101,093 Updated due to quarterly assessment and reallocation
12/27/2016
$
(1)
$
101,092 Transfer of cap due to servicing transfer
02/27/2017
$
(22)
$
101,070 Transfer of cap due to servicing transfer
04/26/2017
$
(1)
$
101,069 Transfer of cap due to servicing transfer
06/15/2017
$
(101,069)
09/30/2010
$
49,915,806
$
93,415,806 Updated portfolio data from servicer
01/06/2011
$
(125)
$
93,415,681 Updated due to quarterly assessment and reallocation
03/30/2011
$
(139)
$
93,415,542 Updated due to quarterly assessment and reallocation
06/29/2011
$
(1,223)
$
06/28/2012
$
(797)
$
07/16/2012
$
294,540,000
$
387,953,522 Transfer of cap due to servicing transfer
07/27/2012
$
(263,550,000)
$
124,403,522 Transfer of cap due to servicing transfer
09/27/2012
$
(3,170)
$
124,400,352 Updated due to quarterly assessment and reallocation
Rocky River
Oklahoma City
OH
OK
Purchase
Purchase
Financial Instrument for Home Loan Modifications
Financial Instrument for Home Loan Modifications
$
$
100,000 N/A
43,500,000 N/A
- Termination of SPA
970,000 Updated portfolio data from servicer/additional program initial cap
- Termination of SPA
- Termination of SPA
93,414,319 Updated due to quarterly assessment and reallocation
93,413,522 Updated due to quarterly assessment and reallocation
112
Servicer Modifying Borrowers' Loans
Date
Name of Institution
City
Adjustment Details
State
Transaction
Type
Investment Description
Cap of Incentive Payments on
Behalf of Borrowers and to
Servicers & Lenders/Investors
(Cap) *
Pricing
Mechanism
Note
Adjustment
Date
CAP Adjustment Amount
09/15/2010 Midwest Community Bank
Elmwood Park
Freeport
IL
IL
Purchase
Purchase
Financial Instrument for Home Loan Modifications
Financial Instrument for Home Loan Modifications
$
$
300,000 N/A
400,000 N/A
Reason for Adjustment
12/27/2012
$
(507)
$
124,399,845 Updated due to quarterly assessment and reallocation
03/25/2013
$
(1,729)
$
124,398,116 Updated due to quarterly assessment and reallocation
06/27/2013
$
(593)
$
124,397,523 Updated due to quarterly assessment and reallocation
09/27/2013
$
(199)
$
124,397,324 Updated due to quarterly assessment and reallocation
12/23/2013
$
(280,061)
$
124,117,263 Updated due to quarterly assessment and reallocation
03/26/2014
$
(8,934)
$
124,108,329 Updated due to quarterly assessment and reallocation
06/26/2014
$
(95,352)
$
124,012,977 Updated due to quarterly assessment and reallocation
07/29/2014
$
30,892,185
$
154,905,162 Updated due to quarterly assessment and reallocation
09/29/2014
$
(9,245)
$
154,895,917 Updated due to quarterly assessment and reallocation
12/29/2014
$
75,614,324
$
230,510,241 Updated due to quarterly assessment and reallocation
03/26/2015
$
(240,368)
$
230,269,873 Updated due to quarterly assessment and reallocation
04/28/2015
$
(679,405)
$
229,590,468 Updated due to quarterly assessment and reallocation
05/14/2015
$
27,080,000
$
256,670,468 Transfer of cap due to servicing transfer
06/16/2015
$
8,250,000
$
264,920,468 Transfer of cap due to servicing transfer
06/25/2015
$
(87,379)
$
264,833,089 Updated due to quarterly assessment and reallocation
08/14/2015
$
13,920,000
$
278,753,089 Transfer of cap due to servicing transfer
09/28/2015
$
34,217,510
$
312,970,599 Updated due to quarterly assessment and reallocation
12/16/2015
$
2,100,000
$
315,070,599 Transfer of cap due to servicing transfer
12/28/2015
$
12,428,293
$
327,498,892 Updated due to quarterly assessment and reallocation
02/25/2016
$
(8,220,532)
$
319,278,360 Reallocation due to MHA program deobligation
03/28/2016
$
(80,000)
$
319,198,360 Updated due to quarterly assessment and reallocation
04/14/2016
$
3,320,000
$
322,518,360 Transfer of cap due to servicing transfer
05/31/2016
$
(15,808)
$
322,502,552 Updated due to quarterly assessment and reallocation
06/27/2016
$
6,140,240
$
328,642,792 Updated due to quarterly assessment and reallocation
07/27/2016
$
2,954,926
$
331,597,718 Updated due to quarterly assessment and reallocation
08/16/2016
$
2,470,000
$
334,067,718 Transfer of cap due to servicing transfer
09/28/2016
$
4,930,168
$
338,997,886 Updated due to quarterly assessment and reallocation
10/25/2016
$
3,864,368
$
342,862,254 Updated due to quarterly assessment and reallocation
-
11/07/2016
04/14/2010 Midwest Bank and Trust Co.
Adjusted CAP
$
342,862,254 Updated due to quarterly assessment and reallocation
11/29/2016
$
(124,507)
$
342,737,747 Updated due to quarterly assessment and reallocation
12/15/2016
$
1,220,000
$
343,957,747 Transfer of cap due to servicing transfer
12/27/2016
$
(18,950)
$
343,938,797 Transfer of cap due to servicing transfer
02/27/2017
$
(362,356)
$
343,576,441 Transfer of cap due to servicing transfer
04/26/2017
$
(28,650)
$
343,547,791 Transfer of cap due to servicing transfer
06/26/2017
$
(203,706)
$
343,344,085 Transfer of cap due to servicing transfer
07/26/2017
$
(6,873)
$
343,337,212 Updated due to quarterly assessment and reallocation
09/26/2017
$
(3,577,664)
$
339,759,548 Transfer of cap due to servicing transfer
10/26/2017
$
(784,963)
$
338,974,585 Transfer of cap due to servicing transfer
12/21/2017
$
(1,346,152)
$
337,628,433 Transfer of cap due to servicing transfer
07/14/2010
$
300,000
$
600,000 Updated portfolio data from servicer
09/30/2010
$
(19,778)
$
580,222 Updated portfolio data from servicer
01/06/2011
$
(1)
$
580,221 Updated due to quarterly assessment and reallocation
03/30/2011
$
(1)
$
580,220 Updated due to quarterly assessment and reallocation
06/29/2011
$
(8)
$
580,212 Updated due to quarterly assessment and reallocation
07/14/2011
$
(580,212)
09/30/2010
$
180,222
$
580,222 Updated portfolio data from servicer
01/06/2011
$
(1)
$
580,221 Updated due to quarterly assessment and reallocation
03/30/2011
$
(1)
$
580,220 Updated due to quarterly assessment and reallocation
06/29/2011
$
(8)
$
580,212 Updated due to quarterly assessment and reallocation
06/28/2012
$
(6)
$
580,206 Updated due to quarterly assessment and reallocation
09/27/2012
$
(17)
$
580,189 Updated due to quarterly assessment and reallocation
12/27/2012
$
(3)
$
580,186 Updated due to quarterly assessment and reallocation
03/25/2013
$
(11)
$
580,175 Updated due to quarterly assessment and reallocation
06/27/2013
$
(4)
$
580,171 Updated due to quarterly assessment and reallocation
09/27/2013
$
(1)
$
580,170 Updated due to quarterly assessment and reallocation
12/23/2013
$
(2,474)
$
577,696 Updated due to quarterly assessment and reallocation
03/26/2014
$
(87)
$
577,609 Updated due to quarterly assessment and reallocation
06/26/2014
$
(1,027)
$
576,582 Updated due to quarterly assessment and reallocation
07/29/2014
$
(2,039)
$
574,543 Updated due to quarterly assessment and reallocation
09/29/2014
$
(673)
$
573,870 Updated due to quarterly assessment and reallocation
12/29/2014
$
(81,582)
$
492,288 Updated due to quarterly assessment and reallocation
03/26/2015
$
(30,682)
$
461,606 Updated due to quarterly assessment and reallocation
04/28/2015
$
(120,932)
$
340,674 Updated due to quarterly assessment and reallocation
06/25/2015
$
(28,680)
$
311,994 Updated due to quarterly assessment and reallocation
09/28/2015
$
(38,312)
$
273,682 Updated due to quarterly assessment and reallocation
12/28/2015
$
(28,353)
$
245,329 Updated due to quarterly assessment and reallocation
02/25/2016
$
(80,972)
$
164,357 Reallocation due to MHA program deobligation
03/28/2016
$
(1,691)
$
162,666 Updated due to quarterly assessment and reallocation
05/31/2016
$
(13,238)
$
149,428 Updated due to quarterly assessment and reallocation
- Termination of SPA
113
Servicer Modifying Borrowers' Loans
Date
Name of Institution
07/22/2009 Mission Federal Credit Union
City
San Diego
Adjustment Details
State
CA
Transaction
Type
Purchase
Investment Description
Financial Instrument for Home Loan Modifications
Cap of Incentive Payments on
Behalf of Borrowers and to
Servicers & Lenders/Investors
(Cap) *
$
Pricing
Mechanism
Note
860,000 N/A
Adjustment
Date
CAP Adjustment Amount
Evansville
IN
Purchase
Financial Instrument for Home Loan Modifications
$
23,480,000 N/A
5
07/22/2009 Mortgage Center, LLC
Southfield
MI
Purchase
Financial Instrument for Home Loan Modifications
$
4,210,000 N/A
Reason for Adjustment
06/27/2016
$
(7,908)
$
141,520 Updated due to quarterly assessment and reallocation
07/27/2016
$
(7,911)
$
133,609 Updated due to quarterly assessment and reallocation
09/28/2016
$
(13,835)
$
119,774 Updated due to quarterly assessment and reallocation
10/25/2016
$
(13,073)
$
106,701 Updated due to quarterly assessment and reallocation
11/07/2016
$
5,040
$
111,741 Updated due to quarterly assessment and reallocation
11/29/2016
$
(90)
$
111,651 Updated due to quarterly assessment and reallocation
12/27/2016
$
(14)
$
111,637 Transfer of cap due to servicing transfer
02/27/2017
$
(240)
$
111,397 Transfer of cap due to servicing transfer
04/26/2017
$
(16)
$
111,381 Transfer of cap due to servicing transfer
06/26/2017
$
(121)
$
111,260 Transfer of cap due to servicing transfer
07/26/2017
$
(4)
$
111,256 Updated due to quarterly assessment and reallocation
09/26/2017
$
(4,816)
$
106,440 Transfer of cap due to servicing transfer
10/26/2017
$
(597)
$
105,843 Transfer of cap due to servicing transfer
12/21/2017
$
(622)
$
105,221 Transfer of cap due to servicing transfer
09/30/2009
$
(490,000)
$
370,000 Updated portfolio data from servicer/additional program initial cap
12/30/2009
$
6,750,000
$
7,120,000 Updated portfolio data from servicer/additional program initial cap
03/26/2010
$
(6,340,000)
$
780,000 Updated portfolio data from servicer
07/14/2010
$
(180,000)
$
600,000 Updated portfolio data from servicer
09/30/2010
$
125,278
$
725,278 Updated portfolio data from servicer
03/30/2011
$
(1)
$
725,277 Updated due to quarterly assessment and reallocation
06/29/2011
$
(4)
$
725,273 Updated due to quarterly assessment and reallocation
06/28/2012
$
(1)
$
725,272 Updated due to quarterly assessment and reallocation
09/27/2012
$
(1)
$
725,271 Updated due to quarterly assessment and reallocation
03/25/2013
$
47,663
$
772,934 Updated due to quarterly assessment and reallocation
12/23/2013
$
(149)
$
772,785 Updated due to quarterly assessment and reallocation
03/26/2014
$
(5)
$
772,780 Updated due to quarterly assessment and reallocation
06/26/2014
$
(64)
$
772,716 Updated due to quarterly assessment and reallocation
07/29/2014
$
(19)
$
772,697 Updated due to quarterly assessment and reallocation
09/29/2014
$
(7)
$
772,690 Updated due to quarterly assessment and reallocation
12/29/2014
$
221,158
$
993,848 Updated due to quarterly assessment and reallocation
03/26/2015
$
(880)
$
992,968 Updated due to quarterly assessment and reallocation
04/28/2015
$
(2,830)
$
990,138 Updated due to quarterly assessment and reallocation
06/25/2015
$
(2,036)
$
988,102 Updated due to quarterly assessment and reallocation
09/28/2015
$
15,293
$
1,003,395 Updated due to quarterly assessment and reallocation
12/28/2015
$
22,214
$
1,025,609 Updated due to quarterly assessment and reallocation
02/25/2016
$
(33,723)
$
991,886 Reallocation due to MHA program deobligation
03/28/2016
$
(707)
$
991,179 Updated due to quarterly assessment and reallocation
05/31/2016
$
(5,534)
$
985,645 Updated due to quarterly assessment and reallocation
06/27/2016
$
(3,306)
$
982,339 Updated due to quarterly assessment and reallocation
07/27/2016
$
(3,325)
$
09/28/2016
$
(8,237)
$
970,777 Updated due to quarterly assessment and reallocation
10/25/2016
$
29,462
$
1,000,239 Updated due to quarterly assessment and reallocation
-
$
1,000,239 Updated due to quarterly assessment and reallocation
11/29/2016
$
(428)
$
999,811 Updated due to quarterly assessment and reallocation
12/27/2016
$
(59)
$
999,752 Transfer of cap due to servicing transfer
02/27/2017
$
(905)
$
998,847 Transfer of cap due to servicing transfer
04/26/2017
$
(89)
$
998,758 Transfer of cap due to servicing transfer
06/26/2017
$
(683)
$
998,075 Transfer of cap due to servicing transfer
07/26/2017
$
(21)
$
998,054 Updated due to quarterly assessment and reallocation
09/26/2017
$
(3,723)
$
994,331 Transfer of cap due to servicing transfer
10/26/2017
$
(462)
$
12/21/2017
$
(481)
$
09/30/2009
$
18,530,000
$
42,010,000 Updated portfolio data from servicer/additional program initial cap
12/30/2009
$
24,510,000
$
66,520,000 Updated portfolio data from servicer/additional program initial cap
11/07/2016
07/17/2009 MorEquity, Inc.
Adjusted CAP
979,014 Updated due to quarterly assessment and reallocation
993,869 Transfer of cap due to servicing transfer
993,388 Transfer of cap due to servicing transfer
03/26/2010
$
18,360,000
$
84,880,000 Updated portfolio data from servicer
07/14/2010
$
(22,580,000)
$
62,300,000 Updated portfolio data from servicer
09/30/2010
$
(8,194,261)
$
54,105,739 Updated portfolio data from servicer
01/06/2011
$
(37)
$
54,105,702 Updated due to quarterly assessment and reallocation
03/16/2011
$
(29,400,000)
$
24,705,702 Transfer of cap due to servicing transfer
03/30/2011
$
(34)
$
24,705,668 Updated due to quarterly assessment and reallocation
05/26/2011
$
(20,077,503)
$
09/30/2009
$
1,780,000
$
5,990,000 Updated portfolio data from servicer/additional program initial cap
12/30/2009
$
2,840,000
$
8,830,000 Updated portfolio data from servicer/additional program initial cap
03/26/2010
$
2,800,000
$
11,630,000 Updated portfolio data from servicer
07/14/2010
$
(5,730,000)
$
5,900,000 Updated portfolio data from servicer
09/30/2010
$
2,658,280
$
8,558,280 Updated portfolio data from servicer
01/06/2011
$
(12)
$
8,558,268 Updated due to quarterly assessment and reallocation
03/30/2011
$
(14)
$
8,558,254 Updated due to quarterly assessment and reallocation
06/29/2011
$
(129)
$
8,558,125 Updated due to quarterly assessment and reallocation
4,628,165 Termination of SPA
114
Servicer Modifying Borrowers' Loans
Date
Name of Institution
10/14/2009 Mortgage Clearing Corporation
07/16/2014 Mortgage Investors Group
05/28/2009
Nationstar Mortgage, LLC dba
Mr Cooper
City
Tulsa
Knoxville
Lewisville
Adjustment Details
State
OK
TN
TX
Transaction
Type
Purchase
Purchase
Purchase
Investment Description
Financial Instrument for Home Loan Modifications
Cap of Incentive Payments on
Behalf of Borrowers and to
Servicers & Lenders/Investors
(Cap) *
$
Financial Instrument for Home Loan Modifications
Financial Instrument for Home Loan Modifications
Pricing
Mechanism
4,860,000 N/A
- N/A
$
Note
101,000,000 N/A
3
Adjustment
Date
CAP Adjustment Amount
Adjusted CAP
Reason for Adjustment
06/28/2012
$
(94)
$
8,558,031 Updated due to quarterly assessment and reallocation
09/27/2012
$
(256)
$
8,557,775 Updated due to quarterly assessment and reallocation
12/27/2012
$
(43)
$
8,557,732 Updated due to quarterly assessment and reallocation
03/25/2013
$
(162)
$
8,557,570 Updated due to quarterly assessment and reallocation
06/27/2013
$
(60)
$
8,557,510 Updated due to quarterly assessment and reallocation
09/27/2013
$
(21)
$
8,557,489 Updated due to quarterly assessment and reallocation
12/23/2013
$
(35,751)
$
8,521,738 Updated due to quarterly assessment and reallocation
03/26/2014
$
(1,246)
$
8,520,492 Updated due to quarterly assessment and reallocation
06/26/2014
$
(14,660)
$
8,505,832 Updated due to quarterly assessment and reallocation
07/29/2014
$
(28,986)
$
8,476,846 Updated due to quarterly assessment and reallocation
09/29/2014
$
(9,490)
$
8,467,356 Updated due to quarterly assessment and reallocation
12/29/2014
$
(1,009,361)
$
7,457,995 Updated due to quarterly assessment and reallocation
03/26/2015
$
(376,129)
$
7,081,866 Updated due to quarterly assessment and reallocation
04/28/2015
$
(1,379,506)
$
5,702,360 Updated due to quarterly assessment and reallocation
06/25/2015
$
(322,597)
$
5,379,763 Updated due to quarterly assessment and reallocation
09/28/2015
$
(416,164)
$
4,963,599 Updated due to quarterly assessment and reallocation
12/28/2015
$
(295,000)
$
4,668,599 Updated due to quarterly assessment and reallocation
02/25/2016
$
(988,991)
$
3,679,608 Reallocation due to MHA program deobligation
03/28/2016
$
(20,369)
$
3,659,239 Updated due to quarterly assessment and reallocation
05/31/2016
$
(148,441)
$
3,510,798 Updated due to quarterly assessment and reallocation
06/27/2016
$
(84,458)
$
3,426,340 Updated due to quarterly assessment and reallocation
07/27/2016
$
(85,622)
$
3,340,718 Updated due to quarterly assessment and reallocation
09/28/2016
$
(124,314)
$
3,216,404 Updated due to quarterly assessment and reallocation
10/25/2016
$
(70,911)
$
3,145,493 Updated due to quarterly assessment and reallocation
11/07/2016
$
27,339
$
3,172,832 Updated due to quarterly assessment and reallocation
11/29/2016
$
(1,606)
$
3,171,226 Updated due to quarterly assessment and reallocation
12/27/2016
$
(245)
$
3,170,981 Transfer of cap due to servicing transfer
02/27/2017
$
(3,124)
$
3,167,857 Transfer of cap due to servicing transfer
04/26/2017
$
(202)
$
3,167,655 Transfer of cap due to servicing transfer
06/26/2017
$
(1,750)
$
3,165,905 Transfer of cap due to servicing transfer
07/26/2017
$
(51)
$
3,165,854 Updated due to quarterly assessment and reallocation
09/26/2017
$
(35,806)
$
3,130,048 Transfer of cap due to servicing transfer
10/26/2017
$
(4,440)
$
3,125,608 Transfer of cap due to servicing transfer
12/21/2017
$
(7,874)
$
3,117,734 Transfer of cap due to servicing transfer
12/30/2009
$
(2,900,000)
$
1,960,000 Updated portfolio data from servicer/additional program initial cap
03/26/2010
$
(1,600,000)
$
360,000 Updated portfolio data from servicer
07/14/2010
$
(260,000)
$
100,000 Updated portfolio data from servicer
09/30/2010
$
45,056
$
145,056 Updated portfolio data from servicer
03/09/2011
$
(145,056)
07/16/2014
$
10,000
$
10,000 Transfer of cap due to servicing transfer
12/29/2014
$
6,042
$
16,042 Updated due to quarterly assessment and reallocation
06/12/2009
$
16,140,000
$
117,140,000 Updated portfolio data from servicer
09/30/2009
$
134,560,000
$
251,700,000 Updated portfolio data from servicer/additional program initial cap
12/30/2009
$
80,250,000
$
331,950,000 Updated portfolio data from servicer/additional program initial cap
03/26/2010
$
67,250,000
$
399,200,000 Updated portfolio data from servicer
07/14/2010
$
(85,900,000)
$
313,300,000 Updated portfolio data from servicer
08/13/2010
$
100,000
$
313,400,000 Transfer of cap due to servicing transfer
09/30/2010
$
2,900,000
$
316,300,000 Updated portfolio data from servicer/additional program initial cap
09/30/2010
$
33,801,486
$
350,101,486 Updated portfolio data from servicer
11/16/2010
$
700,000
$
350,801,486 Transfer of cap due to servicing transfer
12/15/2010
$
1,700,000
$
352,501,486 Transfer of cap due to servicing transfer
01/06/2011
$
(363)
$
352,501,123 Updated due to quarterly assessment and reallocation
02/16/2011
$
900,000
$
353,401,123 Transfer of cap due to servicing transfer
03/16/2011
$
29,800,000
$
383,201,123 Transfer of cap due to servicing transfer
03/30/2011
$
(428)
$
383,200,695 Updated due to quarterly assessment and reallocation
05/26/2011
$
20,077,503
$
403,278,198 Transfer of cap due to servicing transfer
06/29/2011
$
(4,248)
$
403,273,950 Updated due to quarterly assessment and reallocation
11/16/2011
$
100,000
$
403,373,950 Transfer of cap due to servicing transfer
03/15/2012
$
(100,000)
$
403,273,950 Transfer of cap due to servicing transfer
05/16/2012
$
90,000
$
403,363,950 Transfer of cap due to servicing transfer
06/14/2012
$
(2,380,000)
$
400,983,950 Transfer of cap due to servicing transfer
06/28/2012
$
(2,957)
$
400,980,993 Updated due to quarterly assessment and reallocation
07/16/2012
$
(2,580,000)
$
398,400,993 Transfer of cap due to servicing transfer
08/16/2012
$
131,450,000
$
529,850,993 Transfer of cap due to servicing transfer
08/23/2012
$
166,976,849
$
696,827,842 Transfer of cap due to servicing transfer
09/27/2012
$
(12,806)
$
696,815,036 Updated due to quarterly assessment and reallocation
11/15/2012
$
160,000
$
696,975,036 Transfer of cap due to servicing transfer
12/14/2012
$
50,000
$
697,025,036 Transfer of cap due to servicing transfer
12/27/2012
$
(1,882)
$
697,023,154 Updated due to quarterly assessment and reallocation
- Termination of SPA
115
Servicer Modifying Borrowers' Loans
Date
Name of Institution
City
Adjustment Details
State
Transaction
Type
Investment Description
Cap of Incentive Payments on
Behalf of Borrowers and to
Servicers & Lenders/Investors
(Cap) *
Pricing
Mechanism
Note
Adjustment
Date
CAP Adjustment Amount
Adjusted CAP
Reason for Adjustment
02/14/2013
$
(10,000)
$
697,013,154 Transfer of cap due to servicing transfer
03/14/2013
$
(280,000)
$
696,733,154 Transfer of cap due to servicing transfer
03/25/2013
$
(6,437)
$
696,726,717 Updated due to quarterly assessment and reallocation
04/16/2013
$
30,000
$
696,756,717 Transfer of cap due to servicing transfer
05/16/2013
$
(1,510,000)
$
695,246,717 Transfer of cap due to servicing transfer
06/14/2013
$
(1,070,000)
$
694,176,717 Transfer of cap due to servicing transfer
06/27/2013
$
(2,099)
$
694,174,618 Updated due to quarterly assessment and reallocation
07/09/2013
$
23,179,591
$
717,354,209 Transfer of cap due to servicing transfer
07/16/2013
$
490,000
$
717,844,209 Transfer of cap due to servicing transfer
09/16/2013
$
289,070,000
$
1,006,914,209 Transfer of cap due to servicing transfer
09/27/2013
$
(1,118)
$
1,006,913,091 Updated due to quarterly assessment and reallocation
10/15/2013
$
63,440,000
$
1,070,353,091 Transfer of cap due to servicing transfer
11/14/2013
$
5,060,000
$
1,075,413,091 Transfer of cap due to servicing transfer
12/16/2013
$
3,210,000
$
1,078,623,091 Transfer of cap due to servicing transfer
12/23/2013
$
(1,697,251)
$
1,076,925,840 Updated due to quarterly assessment and reallocation
01/16/2014
$
(100,000)
$
1,076,825,840 Transfer of cap due to servicing transfer
02/13/2014
$
32,370,000
$
1,109,195,840 Transfer of cap due to servicing transfer
03/14/2014
$
(20,000)
$
1,109,175,840 Transfer of cap due to servicing transfer
03/26/2014
$
(47,177)
$
1,109,128,663 Updated due to quarterly assessment and reallocation
04/16/2014
$
370,000
$
1,109,498,663 Transfer of cap due to servicing transfer
05/15/2014
$
41,040,000
$
1,150,538,663 Transfer of cap due to servicing transfer
06/16/2014
$
120,000
$
1,150,658,663 Transfer of cap due to servicing transfer
06/26/2014
$
(496,816)
$
1,150,161,847 Updated due to quarterly assessment and reallocation
07/16/2014
$
90,000
$
1,150,251,847 Transfer of cap due to servicing transfer
07/29/2014
$
(917,451)
$
1,149,334,396 Updated due to quarterly assessment and reallocation
08/14/2014
$
47,000,000
$
1,196,334,396 Transfer of cap due to servicing transfer
09/16/2014
$
4,250,000
$
1,200,584,396 Transfer of cap due to servicing transfer
09/29/2014
$
(345,854)
$
1,200,238,542 Updated due to quarterly assessment and reallocation
10/16/2014
$
23,560,000
$
1,223,798,542 Transfer of cap due to servicing transfer
11/14/2014
$
350,000
$
1,224,148,542 Transfer of cap due to servicing transfer
12/16/2014
$
(1,170,000)
$
1,222,978,542 Transfer of cap due to servicing transfer
12/29/2014
$
115,871,484
$
1,338,850,026 Updated due to quarterly assessment and reallocation
01/15/2015
$
390,000
$
1,339,240,026 Transfer of cap due to servicing transfer
02/13/2015
$
(20,000)
$
1,339,220,026 Transfer of cap due to servicing transfer
03/16/2015
$
3,770,000
$
1,342,990,026 Transfer of cap due to servicing transfer
03/26/2015
$
77,475,779
$
1,420,465,805 Updated due to quarterly assessment and reallocation
04/16/2015
$
1,400,000
$
1,421,865,805 Transfer of cap due to servicing transfer
04/28/2015
$
436,566,037
$
1,858,431,842 Updated due to quarterly assessment and reallocation
-
$
1,858,431,842 Transfer of cap due to servicing transfer
05/14/2015
06/16/2015
$
70,000
$
1,858,501,842 Transfer of cap due to servicing transfer
06/25/2015
$
47,906,687
$
1,906,408,529 Updated due to quarterly assessment and reallocation
07/16/2015
$
(1,480,000)
$
1,904,928,529 Transfer of cap due to servicing transfer
08/14/2015
$
(10,000)
$
1,904,918,529 Transfer of cap due to servicing transfer
09/16/2015
$
(1,870,000)
$
1,903,048,529 Transfer of cap due to servicing transfer
09/28/2015
$
161,750,620
$
2,064,799,149 Updated due to quarterly assessment and reallocation
10/15/2015
$
350,000
$
2,065,149,149 Transfer of cap due to servicing transfer
11/16/2015
$
(60,000)
$
2,065,089,149 Transfer of cap due to servicing transfer
12/16/2015
$
(90,000)
$
2,064,999,149 Transfer of cap due to servicing transfer
12/28/2015
$
130,704,697
$
2,195,703,846 Updated due to quarterly assessment and reallocation
01/14/2016
$
(2,860,000)
$
2,192,843,846 Transfer of cap due to servicing transfer
02/16/2016
$
3,400,000
$
2,196,243,846 Transfer of cap due to servicing transfer
02/25/2016
$
(102,109,507)
$
2,094,134,339 Reallocation due to MHA program deobligation
03/16/2016
$
1,050,000
$
2,095,184,339 Transfer of cap due to servicing transfer
03/28/2016
$
(1,853,801)
$
2,093,330,538 Updated due to quarterly assessment and reallocation
04/14/2016
$
(120,000)
$
2,093,210,538 Transfer of cap due to servicing transfer
05/16/2016
$
1,360,000
$
2,094,570,538 Transfer of cap due to servicing transfer
05/31/2016
$
(9,332,357)
$
2,085,238,181 Updated due to quarterly assessment and reallocation
06/16/2016
$
(190,000)
$
2,085,048,181 Transfer of cap due to servicing transfer
06/27/2016
$
(1,088,825)
$
2,083,959,356 Updated due to quarterly assessment and reallocation
07/14/2016
$
(4,290,000)
$
2,079,669,356 Transfer of cap due to servicing transfer
07/27/2016
$
4,083,273
$
2,083,752,629 Updated due to quarterly assessment and reallocation
08/16/2016
$
(340,000)
$
2,083,412,629 Transfer of cap due to servicing transfer
09/15/2016
$
7,740,000
$
2,091,152,629 Transfer of cap due to servicing transfer
09/28/2016
$
17,508,589
$
2,108,661,218 Updated due to quarterly assessment and reallocation
10/14/2016
$
265,260,000
$
2,373,921,218 Transfer of cap due to servicing transfer
10/25/2016
$
(175,223,071)
$
2,198,698,147 Updated due to quarterly assessment and reallocation
11/07/2016
$
(89,818,211)
$
2,108,879,936 Updated due to quarterly assessment and reallocation
11/16/2016
$
390,000
$
2,109,269,936 Transfer of cap due to servicing transfer
11/29/2016
$
(477,093)
$
2,108,792,843 Updated due to quarterly assessment and reallocation
116
Servicer Modifying Borrowers' Loans
Date
12/16/2013
Name of Institution
Nationwide Advantage Mortgage
Des Moines
Company
03/10/2010 Navy Federal Credit Union
08/14/2014
City
New Penn Financial, LLC dba
Shellpoint Mortgage Servicing
Vienna
Greenville
Adjustment Details
State
IA
VA
SC
Transaction
Type
Purchase
Purchase
Purchase
Investment Description
Cap of Incentive Payments on
Behalf of Borrowers and to
Servicers & Lenders/Investors
(Cap) *
Financial Instrument for Home Loan Modifications
Financial Instrument for Home Loan Modifications
Financial Instrument for Home Loan Modifications
Pricing
Mechanism
- N/A
$
Note
3
60,780,000 N/A
- N/A
3
Adjustment
Date
CAP Adjustment Amount
Adjusted CAP
Reason for Adjustment
12/15/2016
$
1,610,000
$
2,110,402,843 Transfer of cap due to servicing transfer
12/27/2016
$
(69,019)
$
2,110,333,824 Transfer of cap due to servicing transfer
01/13/2017
$
140,000
$
2,110,473,824 Transfer of cap due to servicing transfer
02/16/2017
$
1,170,000
$
2,111,643,824 Transfer of cap due to servicing transfer
02/27/2017
$
(1,035,258)
$
2,110,608,566 Transfer of cap due to servicing transfer
03/16/2017
$
2,060,000
$
2,112,668,566 Transfer of cap due to servicing transfer
04/26/2017
$
(75,416)
$
2,112,593,150 Transfer of cap due to servicing transfer
06/26/2017
$
(637,490)
$
2,111,955,660 Transfer of cap due to servicing transfer
07/26/2017
$
(22,654)
$
2,111,933,006 Updated due to quarterly assessment and reallocation
09/26/2017
$
38,054,223
$
2,149,987,229 Transfer of cap due to servicing transfer
10/16/2017
$
(1)
$
2,149,987,228 Transfer of cap due to servicing transfer
10/26/2017
$
(943,780)
$
2,149,043,448 Transfer of cap due to servicing transfer
12/21/2017
$
(2,500,227)
$
2,146,543,221 Transfer of cap due to servicing transfer
12/16/2013
$
10,000
$
10,000 Transfer of cap due to servicing transfer
05/15/2014
$
10,000
$
07/14/2010
$
(44,880,000)
$
15,900,000 Updated portfolio data from servicer
09/30/2010
$
1,071,505
20,000 Transfer of cap due to servicing transfer
$
16,971,505 Updated portfolio data from servicer
01/06/2011
$
(23)
$
16,971,482 Updated due to quarterly assessment and reallocation
03/30/2011
$
(26)
$
16,971,456 Updated due to quarterly assessment and reallocation
06/29/2011
$
(238)
$
16,971,218 Updated due to quarterly assessment and reallocation
06/28/2012
$
(145)
$
16,971,073 Updated due to quarterly assessment and reallocation
09/27/2012
$
(374)
$
16,970,699 Updated due to quarterly assessment and reallocation
12/27/2012
$
(58)
$
16,970,641 Updated due to quarterly assessment and reallocation
03/25/2013
$
(199)
$
16,970,442 Updated due to quarterly assessment and reallocation
06/27/2013
$
(68)
$
16,970,374 Updated due to quarterly assessment and reallocation
09/27/2013
$
(22)
$
16,970,352 Updated due to quarterly assessment and reallocation
12/23/2013
$
(36,317)
$
16,934,035 Updated due to quarterly assessment and reallocation
03/26/2014
$
(1,230)
$
16,932,805 Updated due to quarterly assessment and reallocation
06/26/2014
$
(13,708)
$
16,919,097 Updated due to quarterly assessment and reallocation
07/29/2014
$
(26,600)
$
16,892,497 Updated due to quarterly assessment and reallocation
09/29/2014
$
(8,647)
$
16,883,850 Updated due to quarterly assessment and reallocation
12/29/2014
$
(473,803)
$
16,410,047 Updated due to quarterly assessment and reallocation
03/26/2015
$
(141,405)
$
16,268,642 Updated due to quarterly assessment and reallocation
04/28/2015
$
989,851
$
17,258,493 Updated due to quarterly assessment and reallocation
06/25/2015
$
78,769
$
17,337,262 Updated due to quarterly assessment and reallocation
09/28/2015
$
259,191
$
17,596,453 Updated due to quarterly assessment and reallocation
12/28/2015
$
280,053
$
17,876,506 Updated due to quarterly assessment and reallocation
02/25/2016
$
(611,191)
$
17,265,315 Reallocation due to MHA program deobligation
03/28/2016
$
(7,004)
$
17,258,311 Updated due to quarterly assessment and reallocation
05/31/2016
$
(38,160)
$
17,220,151 Updated due to quarterly assessment and reallocation
06/27/2016
$
(18,454)
$
17,201,697 Updated due to quarterly assessment and reallocation
07/27/2016
$
(23,342)
$
17,178,355 Updated due to quarterly assessment and reallocation
09/28/2016
$
(41,293)
$
17,137,062 Updated due to quarterly assessment and reallocation
10/25/2016
$
(77,064)
$
17,059,998 Updated due to quarterly assessment and reallocation
11/07/2016
$
29,711
$
17,089,709 Updated due to quarterly assessment and reallocation
11/29/2016
$
(7,854)
$
17,081,855 Updated due to quarterly assessment and reallocation
12/27/2016
$
(1,142)
$
17,080,713 Transfer of cap due to servicing transfer
02/27/2017
$
(18,458)
$
17,062,255 Transfer of cap due to servicing transfer
04/26/2017
$
(1,318)
$
17,060,937 Transfer of cap due to servicing transfer
06/26/2017
$
(10,885)
$
17,050,052 Transfer of cap due to servicing transfer
07/26/2017
$
(351)
$
17,049,701 Updated due to quarterly assessment and reallocation
09/26/2017
$
(117,803)
$
16,931,898 Transfer of cap due to servicing transfer
10/26/2017
$
(21,873)
$
16,910,025 Transfer of cap due to servicing transfer
12/21/2017
$
(30,348)
$
16,879,677 Transfer of cap due to servicing transfer
08/14/2014
$
240,000
$
240,000 Transfer of cap due to servicing transfer
09/16/2014
$
59,230,004
$
59,470,004 Transfer of cap due to servicing transfer
09/29/2014
$
(69,838)
$
59,400,166 Updated due to quarterly assessment and reallocation
10/16/2014
$
11,480,000
$
70,880,166 Transfer of cap due to servicing transfer
11/03/2014
$
800,680
$
71,680,846 Transfer of cap due to merger/acquisition
11/14/2014
$
1,750,000
$
73,430,846 Transfer of cap due to servicing transfer
12/16/2014
$
440,000
$
73,870,846 Transfer of cap due to servicing transfer
12/29/2014
$
(7,109,361)
$
66,761,485 Updated due to quarterly assessment and reallocation
01/15/2015
$
300,000
$
67,061,485 Transfer of cap due to servicing transfer
02/13/2015
$
3,380,000
$
70,441,485 Transfer of cap due to servicing transfer
03/16/2015
$
1,300,000
$
71,741,485 Transfer of cap due to servicing transfer
03/26/2015
$
(3,077,094)
$
68,664,391 Updated due to quarterly assessment and reallocation
04/16/2015
$
(2,060,000)
$
66,604,391 Transfer of cap due to servicing transfer
04/28/2015
$
(11,593,331)
$
55,011,060 Updated due to quarterly assessment and reallocation
117
Servicer Modifying Borrowers' Loans
Date
04/13/2011
Name of Institution
New York Community Bank
(AmTrust Bank)
City
Cleveland
Adjustment Details
State
OH
Transaction
Type
Purchase
Investment Description
Financial Instrument for Home Loan Modifications
Cap of Incentive Payments on
Behalf of Borrowers and to
Servicers & Lenders/Investors
(Cap) *
Pricing
Mechanism
- N/A
Note
3
Adjustment
Date
CAP Adjustment Amount
Adjusted CAP
Reason for Adjustment
05/14/2015
$
1,410,000
$
56,421,060 Transfer of cap due to servicing transfer
06/16/2015
$
5,720,000
$
62,141,060 Transfer of cap due to servicing transfer
06/25/2015
$
(2,857,812)
$
59,283,248 Updated due to quarterly assessment and reallocation
07/16/2015
$
13,130,000
$
72,413,248 Transfer of cap due to servicing transfer
08/14/2015
$
(2,810,000)
$
69,603,248 Transfer of cap due to servicing transfer
09/16/2015
$
1,280,000
$
70,883,248 Transfer of cap due to servicing transfer
09/28/2015
$
(3,708,330)
$
67,174,918 Updated due to quarterly assessment and reallocation
10/15/2015
$
680,000
$
67,854,918 Transfer of cap due to servicing transfer
11/16/2015
$
(300,000)
$
67,554,918 Transfer of cap due to servicing transfer
12/16/2015
$
1,410,000
$
68,964,918 Transfer of cap due to servicing transfer
12/28/2015
$
(2,856,501)
$
66,108,417 Updated due to quarterly assessment and reallocation
01/14/2016
$
3,030,000
$
69,138,417 Transfer of cap due to servicing transfer
02/16/2016
$
4,770,000
$
73,908,417 Transfer of cap due to servicing transfer
02/25/2016
$
(13,405,332)
$
60,503,085 Reallocation due to MHA program deobligation
03/16/2016
$
19,990,000
$
80,493,085 Transfer of cap due to servicing transfer
03/28/2016
$
(758,592)
$
79,734,493 Updated due to quarterly assessment and reallocation
04/14/2016
$
7,800,000
$
87,534,493 Transfer of cap due to servicing transfer
05/16/2016
$
4,050,000
$
91,584,493 Transfer of cap due to servicing transfer
05/31/2016
$
(7,677,850)
$
83,906,643 Updated due to quarterly assessment and reallocation
06/16/2016
$
4,570,000
$
88,476,643 Transfer of cap due to servicing transfer
06/27/2016
$
(4,563,638)
$
83,913,005 Updated due to quarterly assessment and reallocation
07/14/2016
$
380,000
$
84,293,005 Transfer of cap due to servicing transfer
07/27/2016
$
(4,538,684)
$
79,754,321 Updated due to quarterly assessment and reallocation
08/16/2016
$
2,430,000
$
82,184,321 Transfer of cap due to servicing transfer
09/15/2016
$
450,000
$
82,634,321 Transfer of cap due to servicing transfer
09/28/2016
$
(6,594,915)
$
76,039,406 Updated due to quarterly assessment and reallocation
10/14/2016
$
1,320,000
$
77,359,406 Transfer of cap due to servicing transfer
10/25/2016
$
(160,395)
$
77,199,011 Updated due to quarterly assessment and reallocation
11/07/2016
$
61,838
$
77,260,849 Updated due to quarterly assessment and reallocation
11/16/2016
$
950,000
$
78,210,849 Transfer of cap due to servicing transfer
11/29/2016
$
11,811,740
$
90,022,589 Updated due to quarterly assessment and reallocation
12/15/2016
$
2,740,000
$
92,762,589 Transfer of cap due to servicing transfer
12/27/2016
$
1,622,420
$
01/13/2017
$
630,000
$
95,015,009 Transfer of cap due to servicing transfer
02/16/2017
$
71,430,000
$
166,445,009 Transfer of cap due to servicing transfer
02/27/2017
$
(768,780)
$
165,676,229 Transfer of cap due to servicing transfer
03/16/2017
$
2,270,000
$
167,946,229 Transfer of cap due to servicing transfer
04/26/2017
$
(49,435)
$
167,896,794 Transfer of cap due to servicing transfer
06/26/2017
$
(342,770)
$
167,554,024 Transfer of cap due to servicing transfer
07/26/2017
$
(9,942)
$
167,544,082 Updated due to quarterly assessment and reallocation
09/26/2017
$
(8,919,264)
$
158,624,818 Transfer of cap due to servicing transfer
10/26/2017
$
(1,353,381)
$
157,271,437 Transfer of cap due to servicing transfer
12/21/2017
$
(1,635,881)
$
155,635,556 Transfer of cap due to servicing transfer
04/13/2011
$
200,000
$
200,000 Transfer of cap due to servicing transfer
05/13/2011
$
100,000
$
300,000 Transfer of cap due to servicing transfer
06/16/2011
$
300,000
$
600,000 Transfer of cap due to servicing transfer
06/29/2011
$
(9)
$
599,991 Updated due to quarterly assessment and reallocation
08/16/2011
$
200,000
$
799,991 Transfer of cap due to servicing transfer
06/28/2012
$
(7)
$
799,984 Updated due to quarterly assessment and reallocation
09/27/2012
$
(19)
$
799,965 Updated due to quarterly assessment and reallocation
12/27/2012
$
(3)
$
799,962 Updated due to quarterly assessment and reallocation
03/25/2013
$
(12)
$
799,950 Updated due to quarterly assessment and reallocation
06/27/2013
$
(5)
$
799,945 Updated due to quarterly assessment and reallocation
07/16/2013
$
150,000
$
949,945 Transfer of cap due to servicing transfer
09/27/2013
$
(2)
$
949,943 Updated due to quarterly assessment and reallocation
12/23/2013
$
(3,454)
$
946,489 Updated due to quarterly assessment and reallocation
03/26/2014
$
(121)
$
946,368 Updated due to quarterly assessment and reallocation
06/26/2014
$
(1,433)
$
944,935 Updated due to quarterly assessment and reallocation
07/29/2014
$
(2,846)
$
942,089 Updated due to quarterly assessment and reallocation
09/29/2014
$
(940)
$
941,149 Updated due to quarterly assessment and reallocation
12/29/2014
$
(93,451)
$
847,698 Updated due to quarterly assessment and reallocation
03/26/2015
$
(38,280)
$
809,418 Updated due to quarterly assessment and reallocation
04/28/2015
$
(150,882)
$
658,536 Updated due to quarterly assessment and reallocation
06/25/2015
$
(36,528)
$
622,008 Updated due to quarterly assessment and reallocation
09/28/2015
$
(48,795)
$
573,213 Updated due to quarterly assessment and reallocation
12/28/2015
$
(36,112)
$
537,101 Updated due to quarterly assessment and reallocation
02/25/2016
$
(114,666)
$
422,435 Reallocation due to MHA program deobligation
03/28/2016
$
(2,395)
$
420,040 Updated due to quarterly assessment and reallocation
05/31/2016
$
(18,747)
$
401,293 Updated due to quarterly assessment and reallocation
94,385,009 Transfer of cap due to servicing transfer
118
Servicer Modifying Borrowers' Loans
Date
Name of Institution
City
03/16/2015 NJ Housing & Mortgage Finance Trenton
10/16/2017 North American Savings Bank
Grandview
08/05/2009 Oakland Municipal Credit Union Oakland
04/16/2009 Ocwen Loan Servicing LLC
West Palm
Beach
Adjustment Details
State
NJ
Transaction
Type
Purchase
Investment Description
Cap of Incentive Payments on
Behalf of Borrowers and to
Servicers & Lenders/Investors
(Cap) *
Financial Instrument for Home Loan Modifications
Pricing
Mechanism
- N/A
MO
Purchase
Financial Instrument for Home Loan Modifications
$
1 N/A
CA
Purchase
Financial Instrument for Home Loan Modifications
$
140,000 N/A
Note
3
3
6
FL
Purchase
Financial Instrument for Home Loan Modifications
$
659,000,000 N/A
Adjustment
Date
CAP Adjustment Amount
Adjusted CAP
Reason for Adjustment
06/16/2016
$
40,000
$
441,293 Transfer of cap due to servicing transfer
06/27/2016
$
(10,639)
$
430,654 Updated due to quarterly assessment and reallocation
07/27/2016
$
(13,632)
$
417,022 Updated due to quarterly assessment and reallocation
09/28/2016
$
(23,841)
$
393,181 Updated due to quarterly assessment and reallocation
10/25/2016
$
(22,528)
$
370,653 Updated due to quarterly assessment and reallocation
11/07/2016
$
8,685
$
379,338 Updated due to quarterly assessment and reallocation
11/29/2016
$
(310)
$
379,028 Updated due to quarterly assessment and reallocation
12/27/2016
$
(47)
$
378,981 Transfer of cap due to servicing transfer
02/27/2017
$
(820)
$
378,161 Transfer of cap due to servicing transfer
04/26/2017
$
(62)
$
378,099 Transfer of cap due to servicing transfer
06/26/2017
$
(474)
$
377,625 Transfer of cap due to servicing transfer
07/26/2017
$
(14)
$
377,611 Updated due to quarterly assessment and reallocation
09/26/2017
$
(10,498)
$
367,113 Transfer of cap due to servicing transfer
10/26/2017
$
(1,302)
$
365,811 Transfer of cap due to servicing transfer
12/21/2017
$
(1,356)
$
364,455 Transfer of cap due to servicing transfer
03/16/2015
$
210,000
$
210,000 Transfer of cap due to servicing transfer
03/26/2015
$
52,082
$
262,082 Updated due to quarterly assessment and reallocation
04/28/2015
$
(20,260)
$
241,822 Updated due to quarterly assessment and reallocation
06/25/2015
$
(4,820)
$
237,002 Updated due to quarterly assessment and reallocation
09/28/2015
$
(6,306)
$
230,696 Updated due to quarterly assessment and reallocation
12/28/2015
$
(4,751)
$
225,945 Updated due to quarterly assessment and reallocation
02/25/2016
$
(20,231)
$
205,714 Reallocation due to MHA program deobligation
03/28/2016
$
(423)
$
205,291 Updated due to quarterly assessment and reallocation
05/31/2016
$
(3,307)
$
201,984 Updated due to quarterly assessment and reallocation
06/27/2016
$
(1,976)
$
200,008 Updated due to quarterly assessment and reallocation
07/27/2016
$
(1,995)
$
198,013 Updated due to quarterly assessment and reallocation
09/28/2016
$
(3,529)
$
194,484 Updated due to quarterly assessment and reallocation
10/25/2016
$
(3,400)
$
191,084 Updated due to quarterly assessment and reallocation
11/07/2016
$
1,311
$
192,395 Updated due to quarterly assessment and reallocation
11/29/2016
$
(105)
$
192,290 Updated due to quarterly assessment and reallocation
12/27/2016
$
(16)
$
192,274 Transfer of cap due to servicing transfer
02/27/2017
$
(279)
$
191,995 Transfer of cap due to servicing transfer
04/26/2017
$
(18)
$
191,977 Transfer of cap due to servicing transfer
06/26/2017
$
(141)
$
191,836 Transfer of cap due to servicing transfer
07/26/2017
$
(4)
$
191,832 Updated due to quarterly assessment and reallocation
09/26/2017
$
(1,276)
$
190,556 Transfer of cap due to servicing transfer
10/26/2017
$
(167)
$
190,389 Transfer of cap due to servicing transfer
12/21/2017
$
(195)
$
190,194 Transfer of cap due to servicing transfer
10/26/2017
$
51,482
$
09/30/2009
$
290,000
$
430,000 Updated portfolio data from servicer/additional program initial cap
12/30/2009
$
210,000
$
640,000 Updated portfolio data from servicer/additional program initial cap
03/26/2010
$
170,000
$
810,000 Updated portfolio data from servicer
07/14/2010
$
(10,000)
$
800,000 Updated portfolio data from servicer
09/30/2010
$
(74,722)
$
725,278 Updated portfolio data from servicer
01/06/2011
$
(1)
$
725,277 Updated due to quarterly assessment and reallocation
03/30/2011
$
(1)
$
725,276 Updated due to quarterly assessment and reallocation
04/13/2011
$
(200,000)
$
525,276 Transfer of cap due to servicing transfer
06/29/2011
$
(7)
$
525,269 Updated due to quarterly assessment and reallocation
07/22/2011
$
(515,201)
$
06/12/2009
$
(105,620,000)
$
553,380,000 Updated portfolio data from servicer
655,960,000 Updated portfolio data from servicer/additional program initial cap
09/30/2009
51,483 Transfer of cap due to servicing transfer
10,068 Termination of SPA
$
102,580,000
$
12/30/2009
$
277,640,000
$
03/26/2010
$
46,860,000
$
06/16/2010
$
156,050,000
$
07/14/2010
$
(191,610,000)
$
944,900,000 Updated portfolio data from servicer
07/16/2010
$
23,710,000
$
968,610,000 Transfer of cap due to servicing transfer
09/15/2010
$
100,000
$
09/30/2010
$
3,742,740
$
10/15/2010
$
170,800,000
$
1,143,252,740 Transfer of cap due to servicing transfer
01/06/2011
$
(1,020)
$
1,143,251,720 Updated due to quarterly assessment and reallocation
02/16/2011
$
900,000
$
1,144,151,720 Transfer of cap due to servicing transfer
03/30/2011
$
(1,114)
$
1,144,150,606 Updated due to quarterly assessment and reallocation
06/29/2011
$
(10,044)
$
1,144,140,562 Updated due to quarterly assessment and reallocation
10/14/2011
$
(100,000)
$
1,144,040,562 Transfer of cap due to servicing transfer
01/13/2012
$
194,800,000
$
1,338,840,562 Transfer of cap due to servicing transfer
02/16/2012
$
400,000
$
1,339,240,562 Transfer of cap due to servicing transfer
03/15/2012
$
100,000
$
1,339,340,562 Transfer of cap due to servicing transfer
05/16/2012
$
123,530,000
$
1,462,870,562 Transfer of cap due to servicing transfer
06/14/2012
$
354,290,000
$
1,817,160,562 Transfer of cap due to servicing transfer
933,600,000 Updated portfolio data from servicer/additional program initial cap
980,460,000 Updated portfolio data from servicer
1,136,510,000 Transfer of cap due to servicing transfer
968,710,000 Updated portfolio data from servicer/additional program initial cap
972,452,740 Updated portfolio data from servicer
119
Servicer Modifying Borrowers' Loans
Date
Name of Institution
City
Adjustment Details
State
Transaction
Type
Investment Description
Cap of Incentive Payments on
Behalf of Borrowers and to
Servicers & Lenders/Investors
(Cap) *
Pricing
Mechanism
Note
Adjustment
Date
CAP Adjustment Amount
Adjusted CAP
Reason for Adjustment
06/28/2012
$
(6,308)
$
1,817,154,254 Updated due to quarterly assessment and reallocation
07/16/2012
$
10,080,000
$
1,827,234,254 Transfer of cap due to servicing transfer
08/16/2012
$
8,390,000
$
1,835,624,254 Transfer of cap due to servicing transfer
09/27/2012
$
(10,733)
$
1,835,613,521 Updated due to quarterly assessment and reallocation
10/16/2012
$
14,560,000
$
1,850,173,521 Transfer of cap due to servicing transfer
11/15/2012
$
13,240,000
$
1,863,413,521 Transfer of cap due to servicing transfer
12/14/2012
$
2,080,000
$
1,865,493,521 Transfer of cap due to servicing transfer
12/27/2012
$
(1,015)
$
1,865,492,506 Updated due to quarterly assessment and reallocation
01/16/2013
$
410,000
$
1,865,902,506 Transfer of cap due to servicing transfer
02/14/2013
$
960,000
$
1,866,862,506 Transfer of cap due to servicing transfer
03/14/2013
$
83,880,000
$
1,950,742,506 Transfer of cap due to servicing transfer
03/25/2013
$
(1,877)
$
1,950,740,629 Updated due to quarterly assessment and reallocation
04/09/2013
$
157,237,929
$
2,107,978,558 Transfer of cap due to servicing transfer
04/16/2013
$
620,860,000
$
2,728,838,558 Transfer of cap due to servicing transfer
05/16/2013
$
18,970,000
$
2,747,808,558 Transfer of cap due to servicing transfer
06/14/2013
$
(190,000)
$
2,747,618,558 Transfer of cap due to servicing transfer
06/27/2013
$
(2,817)
$
2,747,615,741 Updated due to quarterly assessment and reallocation
07/16/2013
$
14,710,000
$
2,762,325,741 Transfer of cap due to servicing transfer
09/16/2013
$
66,170,000
$
2,828,495,741 Transfer of cap due to servicing transfer
09/27/2013
$
(276)
$
2,828,495,465 Updated due to quarterly assessment and reallocation
10/15/2013
$
267,580,000
$
3,096,075,465 Transfer of cap due to servicing transfer
11/14/2013
$
4,290,000
$
3,100,365,465 Transfer of cap due to servicing transfer
12/16/2013
$
280,370,000
$
3,380,735,465 Transfer of cap due to servicing transfer
12/23/2013
$
49,286,732
$
3,430,022,197 Updated due to quarterly assessment and reallocation
01/16/2014
$
51,180,000
$
3,481,202,197 Transfer of cap due to servicing transfer
01/31/2014
$
765,231,390
$
4,246,433,587 Transfer of cap due to merger/acquisition
02/13/2014
$
38,900,000
$
4,285,333,587 Transfer of cap due to servicing transfer
02/27/2014
$
360,860,500
$
4,646,194,086 Transfer of cap due to merger/acquisition
03/14/2014
$
25,080,000
$
4,671,274,086 Transfer of cap due to servicing transfer
03/26/2014
$
(167,651)
$
4,671,106,435 Updated due to quarterly assessment and reallocation
04/16/2014
$
11,980,000
$
4,683,086,435 Transfer of cap due to servicing transfer
05/15/2014
$
130,000
$
4,683,216,435 Transfer of cap due to servicing transfer
05/28/2014
$
284,475,088
$
4,967,691,523 Transfer of cap due to merger/acquisition
06/16/2014
$
690,000
$
4,968,381,523 Transfer of cap due to servicing transfer
06/26/2014
$
(2,284,678)
$
4,966,096,845 Updated due to quarterly assessment and reallocation
07/16/2014
$
(10,000)
$
4,966,086,845 Transfer of cap due to servicing transfer
07/29/2014
$
(4,336,420)
$
4,961,750,425 Updated due to quarterly assessment and reallocation
08/14/2014
$
1,030,000
$
4,962,780,425 Transfer of cap due to servicing transfer
09/16/2014
$
2,290,000
$
4,965,070,425 Transfer of cap due to servicing transfer
09/29/2014
$
(1,332,356)
$
4,963,738,069 Updated due to quarterly assessment and reallocation
10/16/2014
$
(55,610,000)
$
4,908,128,069 Transfer of cap due to servicing transfer
11/14/2014
$
(560,000)
$
4,907,568,069 Transfer of cap due to servicing transfer
12/16/2014
$
1,110,000
$
4,908,678,069 Transfer of cap due to servicing transfer
12/29/2014
$
301,404,585
$
5,210,082,654 Updated due to quarterly assessment and reallocation
01/15/2015
$
100,000
$
5,210,182,654 Transfer of cap due to servicing transfer
02/13/2015
$
31,540,000
$
5,241,722,654 Transfer of cap due to servicing transfer
03/26/2015
$
185,944,745
$
5,427,667,399 Updated due to quarterly assessment and reallocation
04/16/2015
$
(4,540,000)
$
5,423,127,399 Transfer of cap due to servicing transfer
04/28/2015
$
427,273,750
$
5,850,401,149 Updated due to quarterly assessment and reallocation
05/14/2015
$
(2,790,000)
$
5,847,611,149 Transfer of cap due to servicing transfer
06/16/2015
$
(8,130,000)
$
5,839,481,149 Transfer of cap due to servicing transfer
06/25/2015
$
166,414,320
$
6,005,895,469 Updated due to quarterly assessment and reallocation
07/16/2015
$
(7,110,000)
$
5,998,785,469 Transfer of cap due to servicing transfer
08/14/2015
$
(10,500,000)
$
5,988,285,469 Transfer of cap due to servicing transfer
09/16/2015
$
(7,770,000)
$
5,980,515,469 Transfer of cap due to servicing transfer
09/28/2015
$
158,658,251
$
6,139,173,720 Updated due to quarterly assessment and reallocation
10/15/2015
$
(5,660,000)
$
6,133,513,720 Transfer of cap due to servicing transfer
11/16/2015
$
(600,000)
$
6,132,913,720 Transfer of cap due to servicing transfer
12/16/2015
$
(9,870,000)
$
6,123,043,720 Transfer of cap due to servicing transfer
12/28/2015
$
85,621,261
$
6,208,664,981 Updated due to quarterly assessment and reallocation
01/14/2016
$
(350,000)
$
6,208,314,981 Transfer of cap due to servicing transfer
02/16/2016
$
30,000
$
6,208,344,981 Transfer of cap due to servicing transfer
02/25/2016
$
(168,638,885)
$
6,039,706,096 Reallocation due to MHA program deobligation
03/04/2016
$
161,526,035
$
6,201,232,131 Transfer of cap due to merger/acquisition
03/16/2016
$
(21,390,000)
$
6,179,842,131 Transfer of cap due to servicing transfer
03/28/2016
$
(5,796,239)
$
6,174,045,892 Updated due to quarterly assessment and reallocation
04/14/2016
$
(460,000)
$
6,173,585,892 Transfer of cap due to servicing transfer
05/16/2016
$
(44,490,000)
$
6,129,095,892 Transfer of cap due to servicing transfer
05/31/2016
$
78,956,346
$
6,208,052,238 Updated due to quarterly assessment and reallocation
120
Servicer Modifying Borrowers' Loans
Date
Name of Institution
City
Adjustment Details
State
Transaction
Type
Investment Description
Cap of Incentive Payments on
Behalf of Borrowers and to
Servicers & Lenders/Investors
(Cap) *
Pricing
Mechanism
Note
Adjustment
Date
CAP Adjustment Amount
PA
Purchase
Financial Instrument for Home Loan Modifications
$
633,000,000 N/A
Reason for Adjustment
06/16/2016
$
(870,000)
$
6,207,182,238 Transfer of cap due to servicing transfer
06/27/2016
$
84,587,240
$
6,291,769,478 Updated due to quarterly assessment and reallocation
07/14/2016
$
(20,000)
$
6,291,749,478 Transfer of cap due to servicing transfer
07/27/2016
$
94,250,614
$
6,386,000,092 Updated due to quarterly assessment and reallocation
09/15/2016
$
(16,590,000)
$
6,369,410,092 Transfer of cap due to servicing transfer
09/28/2016
$
101,998,896
$
6,471,408,988 Updated due to quarterly assessment and reallocation
10/14/2016
$
(6,340,000)
$
6,465,068,988 Transfer of cap due to servicing transfer
10/25/2016
$
48,141,096
$
6,513,210,084 Updated due to quarterly assessment and reallocation
-
$
6,513,210,084 Updated due to quarterly assessment and reallocation
11/07/2016
Ocwen Loan Servicing, LLC (as
04/13/2009 successor in interest to GMAC
Ft. Washington
Mortgage, LLC)
Adjusted CAP
11/16/2016
$
(3,780,000)
$
6,509,430,084 Transfer of cap due to servicing transfer
11/29/2016
$
(2,378,418)
$
6,507,051,666 Updated due to quarterly assessment and reallocation
12/15/2016
$
(940,000)
$
6,506,111,666 Transfer of cap due to servicing transfer
12/27/2016
$
(383,942)
$
6,505,727,724 Transfer of cap due to servicing transfer
01/13/2017
$
(270,000)
$
6,505,457,724 Transfer of cap due to servicing transfer
02/16/2017
$
(5,110,000)
$
6,500,347,724 Transfer of cap due to servicing transfer
02/27/2017
$
(6,130,012)
$
6,494,217,712 Transfer of cap due to servicing transfer
03/16/2017
$
(5,440,000)
$
6,488,777,712 Transfer of cap due to servicing transfer
04/26/2017
$
(490,044)
$
6,488,287,668 Transfer of cap due to servicing transfer
06/26/2017
$
(4,464,432)
$
6,483,823,236 Transfer of cap due to servicing transfer
07/26/2017
$
(142,546)
$
6,483,680,690 Updated due to quarterly assessment and reallocation
09/26/2017
$
(59,584,573)
$
6,424,096,117 Transfer of cap due to servicing transfer
10/26/2017
$
(9,181,315)
$
6,414,914,802 Transfer of cap due to servicing transfer
12/21/2017
$
(13,351,502)
$
6,401,563,300 Transfer of cap due to servicing transfer
06/12/2009
$
384,650,000
$
1,017,650,000 Updated portfolio data from servicer
09/30/2009
$
2,537,240,000
$
3,554,890,000 Updated portfolio data from servicer/additional program initial cap
12/30/2009
$
(1,679,520,000)
$
1,875,370,000 Updated portfolio data from servicer/additional program initial cap
03/26/2010
$
190,180,000
$
2,065,550,000 Updated portfolio data from servicer
05/14/2010
$
1,880,000
$
2,067,430,000 Transfer of cap due to servicing transfer
07/14/2010
$
(881,530,000)
$
1,185,900,000 Updated portfolio data from servicer
08/13/2010
$
(3,700,000)
$
1,182,200,000 Transfer of cap due to servicing transfer
09/30/2010
$
119,200,000
$
1,301,400,000 Updated portfolio data from servicer/additional program initial cap
09/30/2010
$
216,998,139
$
1,518,398,139 Updated portfolio data from servicer
12/15/2010
$
(500,000)
$
1,517,898,139 Transfer of cap due to servicing transfer
01/06/2011
$
(1,734)
$
1,517,896,405 Updated due to quarterly assessment and reallocation
03/16/2011
$
(100,000)
$
1,517,796,405 Transfer of cap due to servicing transfer
03/30/2011
$
(2,024)
$
1,517,794,381 Updated due to quarterly assessment and reallocation
04/13/2011
$
(800,000)
$
1,516,994,381 Transfer of cap due to servicing transfer
05/13/2011
$
(17,900,000)
$
1,499,094,381 Transfer of cap due to servicing transfer
06/29/2011
$
(18,457)
$
1,499,075,924 Updated due to quarterly assessment and reallocation
07/14/2011
$
(200,000)
$
1,498,875,924 Transfer of cap due to servicing transfer
08/16/2011
$
3,400,000
$
1,502,275,924 Transfer of cap due to servicing transfer
09/15/2011
$
200,000
$
1,502,475,924 Transfer of cap due to servicing transfer
10/14/2011
$
(800,000)
$
1,501,675,924 Transfer of cap due to servicing transfer
11/16/2011
$
(200,000)
$
1,501,475,924 Transfer of cap due to servicing transfer
12/15/2011
$
2,600,000
$
1,504,075,924 Transfer of cap due to servicing transfer
01/13/2012
$
(1,600,000)
$
1,502,475,924 Transfer of cap due to servicing transfer
03/15/2012
$
(400,000)
$
1,502,075,924 Transfer of cap due to servicing transfer
04/16/2012
$
(100,000)
$
1,501,975,924 Transfer of cap due to servicing transfer
05/16/2012
$
(800,000)
$
1,501,175,924 Transfer of cap due to servicing transfer
06/14/2012
$
(990,000)
$
1,500,185,924 Transfer of cap due to servicing transfer
06/28/2012
$
(12,463)
$
1,500,173,461 Updated due to quarterly assessment and reallocation
08/16/2012
$
10,000
$
1,500,183,461 Transfer of cap due to servicing transfer
09/27/2012
$
(33,210)
$
1,500,150,251 Updated due to quarterly assessment and reallocation
11/15/2012
$
(1,200,000)
$
1,498,950,251 Transfer of cap due to servicing transfer
12/14/2012
$
40,000
$
1,498,990,251 Transfer of cap due to servicing transfer
12/27/2012
$
(5,432)
$
1,498,984,819 Updated due to quarterly assessment and reallocation
01/16/2013
$
60,000
$
1,499,044,819 Transfer of cap due to servicing transfer
02/14/2013
$
(30,000)
$
1,499,014,819 Transfer of cap due to servicing transfer
03/14/2013
$
(80,000)
$
1,498,934,819 Transfer of cap due to servicing transfer
03/25/2013
$
(19,838)
$
1,498,914,981 Updated due to quarterly assessment and reallocation
06/14/2013
$
30,000
$
1,498,944,981 Transfer of cap due to servicing transfer
06/27/2013
$
(7,105)
$
1,498,937,876 Updated due to quarterly assessment and reallocation
09/16/2013
$
(66,500,000)
$
1,432,437,876 Transfer of cap due to servicing transfer
09/27/2013
$
(2,430)
$
1,432,435,446 Updated due to quarterly assessment and reallocation
10/15/2013
$
(197,220,000)
$
1,235,215,446 Transfer of cap due to servicing transfer
11/14/2013
$
(30,000)
$
1,235,185,446 Transfer of cap due to servicing transfer
12/16/2013
$
(2,230,000)
$
1,232,955,446 Transfer of cap due to servicing transfer
12/23/2013
$
(3,902,818)
$
1,229,052,628 Updated due to quarterly assessment and reallocation
121
Servicer Modifying Borrowers' Loans
Date
Name of Institution
City
Adjustment Details
State
Transaction
Type
Investment Description
Cap of Incentive Payments on
Behalf of Borrowers and to
Servicers & Lenders/Investors
(Cap) *
Pricing
Mechanism
Note
16
09/11/2009 ORNL Federal Credit Union
Oak Ridge
TN
Purchase
Financial Instrument for Home Loan Modifications
$
2,070,000 N/A
Adjustment
Date
CAP Adjustment Amount
Adjusted CAP
Reason for Adjustment
01/16/2014
$
(9,350,000)
$
1,219,702,628 Transfer of cap due to servicing transfer
02/13/2014
$
(36,560,000)
$
1,183,142,628 Transfer of cap due to servicing transfer
03/14/2014
$
(17,170,000)
$
1,165,972,628 Transfer of cap due to servicing transfer
03/26/2014
$
(136,207)
$
1,165,836,421 Updated due to quarterly assessment and reallocation
04/16/2014
$
(20,570,000)
$
1,145,266,421 Transfer of cap due to servicing transfer
05/15/2014
$
(260,000)
$
1,145,006,421 Transfer of cap due to servicing transfer
06/16/2014
$
(400,000)
$
1,144,606,421 Transfer of cap due to servicing transfer
06/26/2014
$
(1,585,532)
$
1,143,020,889 Updated due to quarterly assessment and reallocation
07/16/2014
$
(70,000)
$
1,142,950,889 Transfer of cap due to servicing transfer
07/29/2014
$
(3,099,444)
$
1,139,851,445 Updated due to quarterly assessment and reallocation
08/14/2014
$
(7,900,000)
$
1,131,951,445 Transfer of cap due to servicing transfer
09/16/2014
$
(2,480,000)
$
1,129,471,445 Transfer of cap due to servicing transfer
09/29/2014
$
(1,022,008)
$
1,128,449,437 Updated due to quarterly assessment and reallocation
10/16/2014
$
(240,000)
$
1,128,209,437 Transfer of cap due to servicing transfer
11/14/2014
$
(260,000)
$
1,127,949,437 Transfer of cap due to servicing transfer
12/16/2014
$
(1,200,000)
$
1,126,749,437 Transfer of cap due to servicing transfer
12/29/2014
$
(120,415,077)
$
1,006,334,360 Updated due to quarterly assessment and reallocation
01/15/2015
$
(90,000)
$
1,006,244,360 Transfer of cap due to servicing transfer
02/13/2015
$
(32,040,000)
$
974,204,360 Transfer of cap due to servicing transfer
03/26/2015
$
(45,741,813)
$
928,462,547 Updated due to quarterly assessment and reallocation
04/16/2015
$
80,000
$
928,542,547 Transfer of cap due to servicing transfer
04/28/2015
$
(180,258,444)
$
748,284,103 Updated due to quarterly assessment and reallocation
06/16/2015
$
(180,000)
$
748,104,103 Transfer of cap due to servicing transfer
06/25/2015
$
(42,755,476)
$
705,348,627 Updated due to quarterly assessment and reallocation
09/28/2015
$
(57,116,228)
$
648,232,399 Updated due to quarterly assessment and reallocation
12/28/2015
$
(42,653,357)
$
605,579,042 Updated due to quarterly assessment and reallocation
02/25/2016
$
(134,493,339)
$
471,085,703 Reallocation due to MHA program deobligation
03/04/2016
$
(161,526,035)
$
309,559,668 Termination of SPA
10/02/2009
$
460,000
$
12/30/2009
$
2,730,000
$
03/26/2010
$
13,280,000
$
18,540,000 Updated portfolio data from servicer
07/14/2010
$
(13,540,000)
$
5,000,000 Updated portfolio data from servicer
09/30/2010
$
1,817,613
$
6,817,613 Updated portfolio data from servicer
01/06/2011
$
(10)
$
6,817,603 Updated due to quarterly assessment and reallocation
03/30/2011
$
(12)
$
6,817,591 Updated due to quarterly assessment and reallocation
06/29/2011
$
(115)
$
6,817,476 Updated due to quarterly assessment and reallocation
06/28/2012
$
(86)
$
6,817,390 Updated due to quarterly assessment and reallocation
09/27/2012
$
(236)
$
6,817,154 Updated due to quarterly assessment and reallocation
12/27/2012
$
(40)
$
6,817,114 Updated due to quarterly assessment and reallocation
03/25/2013
$
(149)
$
6,816,965 Updated due to quarterly assessment and reallocation
06/27/2013
$
(56)
$
6,816,909 Updated due to quarterly assessment and reallocation
09/27/2013
$
(20)
$
6,816,889 Updated due to quarterly assessment and reallocation
12/23/2013
$
(33,979)
$
6,782,910 Updated due to quarterly assessment and reallocation
03/26/2014
$
(1,192)
$
6,781,718 Updated due to quarterly assessment and reallocation
06/26/2014
$
(14,049)
$
6,767,669 Updated due to quarterly assessment and reallocation
07/29/2014
$
(27,888)
$
6,739,781 Updated due to quarterly assessment and reallocation
09/29/2014
$
(9,230)
$
6,730,551 Updated due to quarterly assessment and reallocation
12/29/2014
$
(1,104,824)
$
5,625,727 Updated due to quarterly assessment and reallocation
03/26/2015
$
(416,543)
$
5,209,184 Updated due to quarterly assessment and reallocation
04/28/2015
$
(1,600,867)
$
3,608,317 Updated due to quarterly assessment and reallocation
06/25/2015
$
(379,686)
$
3,228,631 Updated due to quarterly assessment and reallocation
09/28/2015
$
(508,298)
$
2,720,333 Updated due to quarterly assessment and reallocation
12/28/2015
$
(376,180)
$
2,344,153 Updated due to quarterly assessment and reallocation
02/25/2016
$
(1,091,210)
$
1,252,943 Reallocation due to MHA program deobligation
03/28/2016
$
(22,798)
$
1,230,145 Updated due to quarterly assessment and reallocation
05/31/2016
$
(178,458)
$
1,051,687 Updated due to quarterly assessment and reallocation
06/27/2016
$
(106,634)
$
945,053 Updated due to quarterly assessment and reallocation
07/27/2016
$
(106,698)
$
838,355 Updated due to quarterly assessment and reallocation
09/28/2016
$
(193,368)
$
644,987 Updated due to quarterly assessment and reallocation
10/25/2016
$
(182,719)
$
462,268 Updated due to quarterly assessment and reallocation
11/07/2016
$
70,445
$
532,713 Updated due to quarterly assessment and reallocation
11/29/2016
$
(1,422)
$
531,291 Updated due to quarterly assessment and reallocation
12/27/2016
$
(218)
$
531,073 Transfer of cap due to servicing transfer
02/27/2017
$
(3,778)
$
527,295 Transfer of cap due to servicing transfer
04/26/2017
$
(259)
$
527,036 Transfer of cap due to servicing transfer
06/26/2017
$
(2,357)
$
524,679 Transfer of cap due to servicing transfer
07/26/2017
$
(71)
$
524,608 Updated due to quarterly assessment and reallocation
09/26/2017
$
(88,877)
$
435,731 Transfer of cap due to servicing transfer
10/26/2017
$
(10,476)
$
425,255 Transfer of cap due to servicing transfer
2,530,000 Updated portfolio data from servicer/additional program initial cap
5,260,000 Updated portfolio data from servicer/additional program initial cap
122
Servicer Modifying Borrowers' Loans
Date
09/09/2009
Name of Institution
OwnersChoice Funding, Inc.
(CUC Mortgage Corporation)
City
Albany
12/16/2009 Park View Federal Savings Bank Solon
Adjustment Details
State
NY
OH
Transaction
Type
Purchase
Purchase
Investment Description
Financial Instrument for Home Loan Modifications
Financial Instrument for Home Loan Modifications
Cap of Incentive Payments on
Behalf of Borrowers and to
Servicers & Lenders/Investors
(Cap) *
$
$
Pricing
Mechanism
Note
4,350,000 N/A
760,000 N/A
6
08/25/2010 Pathfinder Bank
Oswego
NY
Purchase
Financial Instrument for Home Loan Modifications
$
1,300,000 N/A
Adjustment
Date
CAP Adjustment Amount
Adjusted CAP
Reason for Adjustment
12/21/2017
$
(10,914)
$
10/02/2009
$
950,000
$
5,300,000 Updated portfolio data from servicer/additional program initial cap
12/30/2009
$
5,700,000
$
11,000,000 Updated portfolio data from servicer/additional program initial cap
03/26/2010
$
740,000
$
11,740,000 Updated portfolio data from servicer
07/14/2010
$
(1,440,000)
$
10,300,000 Updated portfolio data from servicer
09/30/2010
$
(6,673,610)
$
3,626,390 Updated portfolio data from servicer
01/06/2011
$
(5)
$
3,626,385 Updated due to quarterly assessment and reallocation
03/30/2011
$
(6)
$
3,626,379 Updated due to quarterly assessment and reallocation
06/29/2011
$
(52)
$
3,626,327 Updated due to quarterly assessment and reallocation
06/28/2012
$
(38)
$
3,626,289 Updated due to quarterly assessment and reallocation
09/27/2012
$
(107)
$
3,626,182 Updated due to quarterly assessment and reallocation
12/27/2012
$
(18)
$
3,626,164 Updated due to quarterly assessment and reallocation
03/25/2013
$
(69)
$
3,626,095 Updated due to quarterly assessment and reallocation
06/27/2013
$
(26)
$
3,626,069 Updated due to quarterly assessment and reallocation
09/27/2013
$
(9)
$
3,626,060 Updated due to quarterly assessment and reallocation
12/23/2013
$
(15,739)
$
3,610,321 Updated due to quarterly assessment and reallocation
03/26/2014
$
(554)
$
3,609,767 Updated due to quarterly assessment and reallocation
06/26/2014
$
(6,538)
$
3,603,229 Updated due to quarterly assessment and reallocation
07/29/2014
$
(12,989)
$
3,590,240 Updated due to quarterly assessment and reallocation
09/29/2014
$
(4,292)
$
3,585,948 Updated due to quarterly assessment and reallocation
12/29/2014
$
(498,170)
$
3,087,778 Updated due to quarterly assessment and reallocation
03/26/2015
$
(183,056)
$
2,904,722 Updated due to quarterly assessment and reallocation
04/28/2015
$
(704,893)
$
2,199,829 Updated due to quarterly assessment and reallocation
06/25/2015
$
(167,093)
$
2,032,736 Updated due to quarterly assessment and reallocation
09/28/2015
$
(224,207)
$
1,808,529 Updated due to quarterly assessment and reallocation
12/28/2015
$
(150,962)
$
1,657,567 Updated due to quarterly assessment and reallocation
02/25/2016
$
(466,555)
$
1,191,012 Reallocation due to MHA program deobligation
03/28/2016
$
(9,753)
$
1,181,259 Updated due to quarterly assessment and reallocation
05/31/2016
$
(69,927)
$
1,111,332 Updated due to quarterly assessment and reallocation
06/27/2016
$
(42,745)
$
1,068,587 Updated due to quarterly assessment and reallocation
07/27/2016
$
(42,814)
$
1,025,773 Updated due to quarterly assessment and reallocation
09/28/2016
$
(66,682)
$
959,091 Updated due to quarterly assessment and reallocation
10/25/2016
$
(63,074)
$
896,017 Updated due to quarterly assessment and reallocation
11/07/2016
$
24,317
$
920,334 Updated due to quarterly assessment and reallocation
11/29/2016
$
(951)
$
919,383 Updated due to quarterly assessment and reallocation
12/27/2016
$
(145)
$
919,238 Transfer of cap due to servicing transfer
02/27/2017
$
(2,640)
$
916,598 Transfer of cap due to servicing transfer
04/26/2017
$
(188)
$
916,410 Transfer of cap due to servicing transfer
06/26/2017
$
(1,451)
$
914,959 Transfer of cap due to servicing transfer
07/26/2017
$
(44)
$
914,915 Updated due to quarterly assessment and reallocation
09/26/2017
$
(38,236)
$
876,679 Transfer of cap due to servicing transfer
10/26/2017
$
(4,742)
$
871,937 Transfer of cap due to servicing transfer
12/21/2017
$
(7,091)
$
864,846 Transfer of cap due to servicing transfer
01/22/2010
$
40,000
$
800,000 Updated portfolio data from servicer/additional program initial cap
03/26/2010
$
140,000
$
940,000 Updated portfolio data from servicer
07/14/2010
$
(140,000)
$
800,000 Updated portfolio data from servicer
09/30/2010
$
70,334
$
870,334 Updated portfolio data from servicer
01/06/2011
$
(1)
$
870,333 Updated due to quarterly assessment and reallocation
03/30/2011
$
(1)
$
870,332 Updated due to quarterly assessment and reallocation
06/29/2011
$
(12)
$
870,320 Updated due to quarterly assessment and reallocation
06/28/2012
$
(10)
$
09/14/2012
$
(816,373)
$
09/30/2010
$
2,181,334
$
3,481,334 Updated portfolio data from servicer
01/06/2011
$
(5)
$
3,481,329 Updated due to quarterly assessment and reallocation
414,341 Transfer of cap due to servicing transfer
870,310 Updated due to quarterly assessment and reallocation
53,937 Termination of SPA
03/30/2011
$
(6)
$
3,481,323 Updated due to quarterly assessment and reallocation
06/29/2011
$
(58)
$
3,481,265 Updated due to quarterly assessment and reallocation
06/28/2012
$
(43)
$
3,481,222 Updated due to quarterly assessment and reallocation
09/27/2012
$
(119)
$
3,481,103 Updated due to quarterly assessment and reallocation
12/27/2012
$
(20)
$
3,481,083 Updated due to quarterly assessment and reallocation
03/25/2013
$
(76)
$
3,481,007 Updated due to quarterly assessment and reallocation
06/27/2013
$
(29)
$
3,480,978 Updated due to quarterly assessment and reallocation
09/27/2013
$
(10)
$
3,480,968 Updated due to quarterly assessment and reallocation
12/23/2013
$
(17,421)
$
3,463,547 Updated due to quarterly assessment and reallocation
03/26/2014
$
(612)
$
3,462,935 Updated due to quarterly assessment and reallocation
06/26/2014
$
(7,228)
$
3,455,707 Updated due to quarterly assessment and reallocation
07/29/2014
$
(14,356)
$
3,441,351 Updated due to quarterly assessment and reallocation
09/29/2014
$
(4,742)
$
3,436,609 Updated due to quarterly assessment and reallocation
12/29/2014
$
(563,436)
$
2,873,173 Updated due to quarterly assessment and reallocation
03/26/2015
$
(211,377)
$
2,661,796 Updated due to quarterly assessment and reallocation
123
Servicer Modifying Borrowers' Loans
Date
Name of Institution
08/12/2009 PennyMac Loan Services, LLC
City
Calasbasa
Adjustment Details
State
CA
Transaction
Type
Purchase
Investment Description
Financial Instrument for Home Loan Modifications
Cap of Incentive Payments on
Behalf of Borrowers and to
Servicers & Lenders/Investors
(Cap) *
$
Pricing
Mechanism
6,210,000 N/A
Note
Adjustment
Date
CAP Adjustment Amount
Adjusted CAP
Reason for Adjustment
04/28/2015
$
(828,966)
$
1,832,830 Updated due to quarterly assessment and reallocation
06/25/2015
$
(197,512)
$
1,635,318 Updated due to quarterly assessment and reallocation
09/28/2015
$
(265,281)
$
1,370,037 Updated due to quarterly assessment and reallocation
12/28/2015
$
(198,838)
$
1,171,199 Updated due to quarterly assessment and reallocation
02/25/2016
$
(574,396)
$
596,803 Reallocation due to MHA program deobligation
03/28/2016
$
(11,998)
$
584,805 Updated due to quarterly assessment and reallocation
05/31/2016
$
(93,018)
$
491,787 Updated due to quarterly assessment and reallocation
06/27/2016
$
(55,567)
$
436,220 Updated due to quarterly assessment and reallocation
07/27/2016
$
(55,584)
$
380,636 Updated due to quarterly assessment and reallocation
09/28/2016
$
(99,629)
$
281,007 Updated due to quarterly assessment and reallocation
10/25/2016
$
(84,725)
$
196,282 Updated due to quarterly assessment and reallocation
11/07/2016
$
32,664
$
228,946 Updated due to quarterly assessment and reallocation
11/29/2016
$
(652)
$
228,294 Updated due to quarterly assessment and reallocation
12/27/2016
$
(100)
$
228,194 Transfer of cap due to servicing transfer
02/27/2017
$
(1,726)
$
226,468 Transfer of cap due to servicing transfer
04/26/2017
$
(122)
$
226,346 Transfer of cap due to servicing transfer
06/26/2017
$
(939)
$
225,407 Transfer of cap due to servicing transfer
07/26/2017
$
(28)
$
225,379 Updated due to quarterly assessment and reallocation
09/26/2017
$
(37,422)
$
187,957 Transfer of cap due to servicing transfer
10/26/2017
$
(4,641)
$
183,316 Transfer of cap due to servicing transfer
12/21/2017
$
(4,835)
$
09/30/2009
$
(1,200,000)
$
5,010,000 Updated portfolio data from servicer/additional program initial cap
12/30/2009
$
30,800,000
$
35,810,000 Updated portfolio data from servicer/additional program initial cap
03/26/2010
$
23,200,000
$
59,010,000 Updated portfolio data from servicer
06/16/2010
$
2,710,000
$
61,720,000 Transfer of cap due to servicing transfer
07/14/2010
$
(18,020,000)
$
43,700,000 Updated portfolio data from servicer
07/16/2010
$
6,680,000
$
50,380,000 Transfer of cap due to servicing transfer
08/13/2010
$
2,600,000
$
52,980,000 Transfer of cap due to servicing transfer
09/15/2010
$
(100,000)
$
52,880,000 Transfer of cap due to servicing transfer
09/30/2010
$
200,000
$
53,080,000 Updated portfolio data from servicer/additional program initial cap
09/30/2010
$
(1,423,197)
$
51,656,803 Updated portfolio data from servicer
11/16/2010
$
1,400,000
$
53,056,803 Transfer of cap due to servicing transfer
12/15/2010
$
(100,000)
$
52,956,803 Transfer of cap due to servicing transfer
01/06/2011
$
(72)
$
52,956,731 Updated due to quarterly assessment and reallocation
01/13/2011
$
4,100,000
$
57,056,731 Transfer of cap due to servicing transfer
02/16/2011
$
(100,000)
$
56,956,731 Transfer of cap due to servicing transfer
03/16/2011
$
4,000,000
$
60,956,731 Transfer of cap due to servicing transfer
03/30/2011
$
(94)
$
60,956,637 Updated due to quarterly assessment and reallocation
04/13/2011
$
(100,000)
$
60,856,637 Transfer of cap due to servicing transfer
05/13/2011
$
5,800,000
$
66,656,637 Transfer of cap due to servicing transfer
06/16/2011
$
600,000
$
67,256,637 Transfer of cap due to servicing transfer
06/29/2011
$
(812)
$
67,255,825 Updated due to quarterly assessment and reallocation
07/14/2011
$
2,500,000
$
69,755,825 Transfer of cap due to servicing transfer
09/15/2011
$
2,800,000
$
72,555,825 Transfer of cap due to servicing transfer
10/14/2011
$
300,000
$
72,855,825 Transfer of cap due to servicing transfer
11/16/2011
$
900,000
$
73,755,825 Transfer of cap due to servicing transfer
12/15/2011
$
800,000
$
74,555,825 Transfer of cap due to servicing transfer
01/13/2012
$
200,000
$
74,755,825 Transfer of cap due to servicing transfer
03/15/2012
$
1,900,000
$
76,655,825 Transfer of cap due to servicing transfer
04/16/2012
$
200,000
$
76,855,825 Transfer of cap due to servicing transfer
06/14/2012
$
1,340,000
$
78,195,825 Transfer of cap due to servicing transfer
06/28/2012
$
(340)
$
78,195,485 Updated due to quarterly assessment and reallocation
07/16/2012
$
2,930,000
$
81,125,485 Transfer of cap due to servicing transfer
08/16/2012
$
890,000
$
82,015,485 Transfer of cap due to servicing transfer
09/27/2012
$
(974)
$
82,014,511 Updated due to quarterly assessment and reallocation
10/16/2012
$
1,800,000
$
83,814,511 Transfer of cap due to servicing transfer
12/14/2012
$
3,860,000
$
87,674,511 Transfer of cap due to servicing transfer
12/27/2012
$
(154)
$
87,674,357 Updated due to quarterly assessment and reallocation
02/14/2013
$
2,980,000
$
90,654,357 Transfer of cap due to servicing transfer
03/25/2013
$
(506)
$
90,653,851 Updated due to quarterly assessment and reallocation
04/16/2013
$
2,160,000
$
92,813,851 Transfer of cap due to servicing transfer
06/14/2013
$
2,440,000
$
95,253,851 Transfer of cap due to servicing transfer
06/27/2013
$
(128)
$
95,253,723 Updated due to quarterly assessment and reallocation
09/27/2013
$
(7)
$
10/15/2013
$
4,450,000
$
12/23/2013
$
15,826,215
$
115,529,931 Updated due to quarterly assessment and reallocation
02/13/2014
$
5,130,000
$
120,659,931 Transfer of cap due to servicing transfer
03/14/2014
$
(2,390,000)
$
118,269,931 Transfer of cap due to servicing transfer
03/26/2014
$
2,017,426
$
120,287,357 Updated due to quarterly assessment and reallocation
178,481 Transfer of cap due to servicing transfer
95,253,716 Updated due to quarterly assessment and reallocation
99,703,716 Transfer of cap due to servicing transfer
124
Servicer Modifying Borrowers' Loans
Date
Name of Institution
City
Adjustment Details
State
Transaction
Type
Investment Description
Cap of Incentive Payments on
Behalf of Borrowers and to
Servicers & Lenders/Investors
(Cap) *
Pricing
Mechanism
Note
Adjustment
Date
CAP Adjustment Amount
Mt. Laurel
NJ
Purchase
Financial Instrument for Home Loan Modifications
- N/A
3
Reason for Adjustment
05/15/2014
$
(10,000)
$
120,277,357 Transfer of cap due to servicing transfer
06/16/2014
$
2,360,000
$
122,637,357 Transfer of cap due to servicing transfer
06/26/2014
$
5,959,201
$
128,596,558 Updated due to quarterly assessment and reallocation
07/16/2014
$
10,000
$
128,606,558 Transfer of cap due to servicing transfer
07/29/2014
$
3,708,381
$
132,314,939 Updated due to quarterly assessment and reallocation
08/14/2014
$
150,000
$
132,464,939 Transfer of cap due to servicing transfer
09/16/2014
$
(2,610,000)
$
129,854,939 Transfer of cap due to servicing transfer
09/29/2014
$
(7,217)
$
129,847,722 Updated due to quarterly assessment and reallocation
10/16/2014
$
(25,090,000)
$
104,757,722 Transfer of cap due to servicing transfer
11/14/2014
$
20,000
$
104,777,722 Transfer of cap due to servicing transfer
12/29/2014
$
16,799,847
$
121,577,569 Updated due to quarterly assessment and reallocation
02/13/2015
$
20,000
$
121,597,569 Transfer of cap due to servicing transfer
03/26/2015
$
2,467,104
$
124,064,673 Updated due to quarterly assessment and reallocation
04/16/2015
$
3,210,000
$
127,274,673 Transfer of cap due to servicing transfer
04/28/2015
$
1,404,045
$
128,678,718 Updated due to quarterly assessment and reallocation
05/14/2015
$
(3,370,000)
$
125,308,718 Transfer of cap due to servicing transfer
06/16/2015
$
3,380,000
$
128,688,718 Transfer of cap due to servicing transfer
06/25/2015
$
2,364,052
$
131,052,770 Updated due to quarterly assessment and reallocation
07/16/2015
$
450,000
$
131,502,770 Transfer of cap due to servicing transfer
08/14/2015
$
4,410,000
$
135,912,770 Transfer of cap due to servicing transfer
09/28/2015
$
6,612,807
$
142,525,577 Updated due to quarterly assessment and reallocation
12/28/2015
$
4,078,670
$
146,604,247 Updated due to quarterly assessment and reallocation
02/25/2016
$
(5,430,455)
$
141,173,792 Reallocation due to MHA program deobligation
03/16/2016
$
20,000
$
141,193,792 Transfer of cap due to servicing transfer
03/28/2016
$
(125,261)
$
141,068,531 Updated due to quarterly assessment and reallocation
04/14/2016
$
30,000
$
141,098,531 Transfer of cap due to servicing transfer
05/16/2016
$
(10,000)
$
141,088,531 Transfer of cap due to servicing transfer
05/31/2016
$
1,973,967
$
143,062,498 Updated due to quarterly assessment and reallocation
06/16/2016
$
(16,870,000)
$
126,192,498 Transfer of cap due to servicing transfer
06/27/2016
$
(126,953)
$
126,065,545 Updated due to quarterly assessment and reallocation
07/14/2016
$
(40,000)
$
126,025,545 Transfer of cap due to servicing transfer
07/27/2016
$
(277,813)
$
125,747,732 Updated due to quarterly assessment and reallocation
09/28/2016
$
3,823,487
$
129,571,219 Updated due to quarterly assessment and reallocation
10/14/2016
$
50,000
$
129,621,219 Transfer of cap due to servicing transfer
10/25/2016
$
2,217,222
$
131,838,441 Updated due to quarterly assessment and reallocation
-
$
131,838,441 Updated due to quarterly assessment and reallocation
11/07/2016
09/15/2011 PHH Mortgage Corporation
Adjusted CAP
11/16/2016
$
6,440,000
$
138,278,441 Transfer of cap due to servicing transfer
11/29/2016
$
(84,534)
$
138,193,907 Updated due to quarterly assessment and reallocation
12/27/2016
$
(13,478)
$
138,180,429 Transfer of cap due to servicing transfer
02/16/2017
$
8,750,000
$
146,930,429 Transfer of cap due to servicing transfer
02/27/2017
$
(393,981)
$
146,536,448 Transfer of cap due to servicing transfer
03/16/2017
$
(4,060,000)
$
142,476,448 Transfer of cap due to servicing transfer
04/26/2017
$
(21,017)
$
142,455,431 Transfer of cap due to servicing transfer
06/26/2017
$
(192,538)
$
142,262,893 Transfer of cap due to servicing transfer
07/26/2017
$
(5,689)
$
142,257,204 Updated due to quarterly assessment and reallocation
09/26/2017
$
(3,492,396)
$
138,764,808 Transfer of cap due to servicing transfer
10/26/2017
$
(703,153)
$
138,061,655 Transfer of cap due to servicing transfer
12/21/2017
$
(1,245,643)
$
136,816,012 Transfer of cap due to servicing transfer
09/15/2011
$
1,300,000
$
1,300,000 Transfer of cap due to servicing transfer
06/28/2012
$
(15)
$
1,299,985 Updated due to quarterly assessment and reallocation
09/27/2012
$
(42)
$
1,299,943 Updated due to quarterly assessment and reallocation
10/16/2012
$
140,000
$
1,439,943 Transfer of cap due to servicing transfer
12/27/2012
$
(8)
$
1,439,935 Updated due to quarterly assessment and reallocation
03/25/2013
$
(30)
$
1,439,905 Updated due to quarterly assessment and reallocation
06/27/2013
$
(11)
$
1,439,894 Updated due to quarterly assessment and reallocation
07/16/2013
$
5,850,000
$
7,289,894 Transfer of cap due to servicing transfer
09/27/2013
$
(20)
$
7,289,874 Updated due to quarterly assessment and reallocation
12/23/2013
$
(34,545)
$
7,255,329 Updated due to quarterly assessment and reallocation
03/26/2014
$
(1,216)
$
7,254,113 Updated due to quarterly assessment and reallocation
06/26/2014
$
(14,371)
$
7,239,742 Updated due to quarterly assessment and reallocation
07/29/2014
$
(28,561)
$
7,211,181 Updated due to quarterly assessment and reallocation
09/29/2014
$
(9,436)
$
7,201,745 Updated due to quarterly assessment and reallocation
12/29/2014
$
(1,078,208)
$
6,123,537 Updated due to quarterly assessment and reallocation
03/26/2015
$
(406,380)
$
5,717,157 Updated due to quarterly assessment and reallocation
04/28/2015
$
(1,601,860)
$
4,115,297 Updated due to quarterly assessment and reallocation
06/25/2015
$
(382,420)
$
3,732,877 Updated due to quarterly assessment and reallocation
08/14/2015
$
(10,000)
$
3,722,877 Transfer of cap due to servicing transfer
09/28/2015
$
(512,596)
$
3,210,281 Updated due to quarterly assessment and reallocation
12/28/2015
$
(387,831)
$
2,822,450 Updated due to quarterly assessment and reallocation
125
Servicer Modifying Borrowers' Loans
Date
Name of Institution
10/14/2016 Planet Home Lending, LLC
11/14/2013 Plaza Home Mortgage, Inc
City
Meriden
San Diego
07/17/2009 PNC Bank, National Association Pittsburgh
Adjustment Details
State
CT
CA
PA
Transaction
Type
Purchase
Purchase
Purchase
Investment Description
Cap of Incentive Payments on
Behalf of Borrowers and to
Servicers & Lenders/Investors
(Cap) *
Financial Instrument for Home Loan Modifications
- N/A
Financial Instrument for Home Loan Modifications
Financial Instrument for Home Loan Modifications
Pricing
Mechanism
- N/A
$
54,470,000 N/A
Note
3
3
Adjustment
Date
CAP Adjustment Amount
Adjusted CAP
Reason for Adjustment
02/25/2016
$
(1,134,993)
$
1,687,457 Reallocation due to MHA program deobligation
03/28/2016
$
(23,709)
$
1,663,748 Updated due to quarterly assessment and reallocation
05/31/2016
$
(185,561)
$
1,478,187 Updated due to quarterly assessment and reallocation
06/27/2016
$
(111,846)
$
1,366,341 Updated due to quarterly assessment and reallocation
07/27/2016
$
(111,885)
$
1,254,456 Updated due to quarterly assessment and reallocation
09/28/2016
$
(195,668)
$
1,058,788 Updated due to quarterly assessment and reallocation
10/25/2016
$
(188,828)
$
869,960 Updated due to quarterly assessment and reallocation
11/07/2016
$
72,800
$
942,760 Updated due to quarterly assessment and reallocation
11/29/2016
$
(1,637)
$
941,123 Updated due to quarterly assessment and reallocation
12/27/2016
$
(250)
$
940,873 Transfer of cap due to servicing transfer
02/27/2017
$
(4,485)
$
936,388 Transfer of cap due to servicing transfer
04/26/2017
$
(294)
$
936,094 Transfer of cap due to servicing transfer
06/26/2017
$
(2,261)
$
933,833 Transfer of cap due to servicing transfer
07/26/2017
$
(68)
$
933,765 Updated due to quarterly assessment and reallocation
09/26/2017
$
(81,667)
$
852,098 Transfer of cap due to servicing transfer
10/26/2017
$
(10,678)
$
841,420 Transfer of cap due to servicing transfer
12/21/2017
$
(11,134)
$
830,286 Transfer of cap due to servicing transfer
10/14/2016
-
- Transfer of cap due to servicing transfer
11/16/2016
$
1,110,000
$
1,110,000 Transfer of cap due to servicing transfer
11/29/2016
$
(244)
$
1,109,756 Updated due to quarterly assessment and reallocation
12/27/2016
$
(83)
$
1,109,673 Transfer of cap due to servicing transfer
02/27/2017
$
(3,452)
$
1,106,221 Transfer of cap due to servicing transfer
04/26/2017
$
(207)
$
1,106,014 Transfer of cap due to servicing transfer
06/26/2017
$
(2,376)
$
1,103,638 Transfer of cap due to servicing transfer
07/26/2017
$
(57)
$
1,103,581 Updated due to quarterly assessment and reallocation
09/26/2017
$
9,535
$
1,113,116 Transfer of cap due to servicing transfer
10/26/2017
$
(2,987)
$
1,110,129 Transfer of cap due to servicing transfer
12/21/2017
$
(7,743)
$
1,102,386 Transfer of cap due to servicing transfer
11/14/2013
$
10,000
$
07/16/2014
$
20,000
$
09/30/2009
$
(36,240,000)
$
18,230,000 Updated portfolio data from servicer/additional program initial cap
12/30/2009
$
19,280,000
$
37,510,000 Updated portfolio data from servicer/additional program initial cap
03/26/2010
$
2,470,000
$
39,980,000 Updated portfolio data from servicer
07/14/2010
$
(17,180,000)
$
22,800,000 Updated portfolio data from servicer
09/30/2010
$
35,500,000
$
58,300,000 Updated portfolio data from servicer/additional program initial cap
09/30/2010
$
23,076,191
$
81,376,191 Updated portfolio data from servicer
01/06/2011
$
(123)
$
81,376,068 Updated due to quarterly assessment and reallocation
03/30/2011
$
(147)
$
81,375,921 Updated due to quarterly assessment and reallocation
05/13/2011
$
(100,000)
$
81,275,921 Transfer of cap due to servicing transfer
06/29/2011
$
(1,382)
$
81,274,539 Updated due to quarterly assessment and reallocation
10/14/2011
$
(300,000)
$
80,974,539 Transfer of cap due to servicing transfer
06/28/2012
$
(1,003)
$
80,973,536 Updated due to quarterly assessment and reallocation
09/27/2012
$
(2,745)
$
80,970,791 Updated due to quarterly assessment and reallocation
12/27/2012
$
(460)
$
80,970,331 Updated due to quarterly assessment and reallocation
03/25/2013
$
(1,740)
$
80,968,591 Updated due to quarterly assessment and reallocation
04/09/2013
$
60,000
$
81,028,591 Transfer of cap due to merger/acquisition
06/27/2013
$
(656)
$
81,027,935 Updated due to quarterly assessment and reallocation
09/27/2013
$
(234)
$
81,027,701 Updated due to quarterly assessment and reallocation
12/23/2013
$
(394,926)
$
80,632,775 Updated due to quarterly assessment and reallocation
03/26/2014
$
(13,845)
$
80,618,930 Updated due to quarterly assessment and reallocation
06/26/2014
$
(162,401)
$
80,456,529 Updated due to quarterly assessment and reallocation
07/29/2014
$
(322,480)
$
80,134,049 Updated due to quarterly assessment and reallocation
09/29/2014
$
(106,405)
$
80,027,644 Updated due to quarterly assessment and reallocation
12/29/2014
$
(12,871,888)
$
67,155,756 Updated due to quarterly assessment and reallocation
03/26/2015
$
(4,826,204)
$
62,329,552 Updated due to quarterly assessment and reallocation
04/28/2015
$
(19,002,914)
$
43,326,638 Updated due to quarterly assessment and reallocation
06/25/2015
$
(4,501,445)
$
38,825,193 Updated due to quarterly assessment and reallocation
09/28/2015
$
(5,972,171)
$
32,853,022 Updated due to quarterly assessment and reallocation
12/28/2015
$
(4,421,272)
$
28,431,750 Updated due to quarterly assessment and reallocation
02/25/2016
$
(12,807,238)
$
15,624,512 Reallocation due to MHA program deobligation
03/28/2016
$
(268,339)
$
15,356,173 Updated due to quarterly assessment and reallocation
05/31/2016
$
(2,078,999)
$
13,277,174 Updated due to quarterly assessment and reallocation
06/27/2016
$
(1,239,369)
$
12,037,805 Updated due to quarterly assessment and reallocation
07/27/2016
$
(1,229,840)
$
10,807,965 Updated due to quarterly assessment and reallocation
09/28/2016
$
(2,157,825)
$
8,650,140 Updated due to quarterly assessment and reallocation
10/25/2016
$
(2,044,170)
$
6,605,970 Updated due to quarterly assessment and reallocation
11/07/2016
$
788,099
$
7,394,069 Updated due to quarterly assessment and reallocation
11/29/2016
$
(16,619)
$
7,377,450 Updated due to quarterly assessment and reallocation
12/27/2016
$
(2,544)
$
7,374,906 Transfer of cap due to servicing transfer
10,000 Transfer of cap due to servicing transfer
30,000 Transfer of cap due to servicing transfer
126
Servicer Modifying Borrowers' Loans
Date
06/26/2009
Name of Institution
City
PNC Bank, National Association
Miamisburg
(successor to National City
Adjustment Details
State
OH
Transaction
Type
Purchase
Investment Description
Financial Instrument for Home Loan Modifications
Cap of Incentive Payments on
Behalf of Borrowers and to
Servicers & Lenders/Investors
(Cap) *
$
Pricing
Mechanism
294,980,000 N/A
Note
Adjustment
Date
CAP Adjustment Amount
Adjusted CAP
Reason for Adjustment
02/27/2017
$
(41,839)
$
7,333,067 Transfer of cap due to servicing transfer
04/26/2017
$
(2,604)
$
7,330,463 Transfer of cap due to servicing transfer
06/26/2017
$
(19,581)
$
7,310,882 Transfer of cap due to servicing transfer
07/26/2017
$
(596)
$
7,310,286 Updated due to quarterly assessment and reallocation
09/26/2017
$
(651,267)
$
6,659,019 Transfer of cap due to servicing transfer
10/26/2017
$
(81,328)
$
6,577,691 Transfer of cap due to servicing transfer
12/21/2017
$
(86,135)
$
09/30/2009
$
315,170,000
$
610,150,000 Updated portfolio data from servicer/additional program initial cap
12/30/2009
$
90,280,000
$
700,430,000 Updated portfolio data from servicer/additional program initial cap
03/26/2010
$
(18,690,000)
$
681,740,000 Updated portfolio data from servicer
07/14/2010
$
(272,640,000)
$
409,100,000 Updated portfolio data from servicer
09/30/2010
$
80,600,000
$
489,700,000 Updated portfolio data from servicer/additional program initial cap
09/30/2010
$
71,230,004
$
560,930,004 Updated portfolio data from servicer
01/06/2011
$
(828)
$
560,929,176 Updated due to quarterly assessment and reallocation
02/16/2011
$
200,000
$
561,129,176 Transfer of cap due to servicing transfer
03/16/2011
$
(100,000)
$
561,029,176 Transfer of cap due to servicing transfer
03/30/2011
$
(981)
$
561,028,195 Updated due to quarterly assessment and reallocation
04/13/2011
$
(2,300,000)
$
558,728,195 Transfer of cap due to servicing transfer
05/13/2011
$
(200,000)
$
558,528,195 Transfer of cap due to servicing transfer
06/16/2011
$
(200,000)
$
558,328,195 Transfer of cap due to servicing transfer
06/29/2011
$
(9,197)
$
558,318,998 Updated due to quarterly assessment and reallocation
10/14/2011
$
300,000
$
558,618,998 Transfer of cap due to servicing transfer
11/16/2011
$
(300,000)
$
558,318,998 Transfer of cap due to servicing transfer
01/13/2012
$
200,000
$
558,518,998 Transfer of cap due to servicing transfer
02/16/2012
$
(100,000)
$
558,418,998 Transfer of cap due to servicing transfer
03/15/2012
$
200,000
$
558,618,998 Transfer of cap due to servicing transfer
06/14/2012
$
(10,000)
$
558,608,998 Transfer of cap due to servicing transfer
06/28/2012
$
(6,771)
$
558,602,227 Updated due to quarterly assessment and reallocation
09/27/2012
$
(18,467)
$
558,583,760 Updated due to quarterly assessment and reallocation
12/27/2012
$
(3,105)
$
558,580,655 Updated due to quarterly assessment and reallocation
03/25/2013
$
(11,713)
$
558,568,942 Updated due to quarterly assessment and reallocation
06/27/2013
$
(4,393)
$
558,564,549 Updated due to quarterly assessment and reallocation
09/27/2013
$
(1,565)
$
558,562,984 Updated due to quarterly assessment and reallocation
12/23/2013
$
(2,622,925)
$
555,940,059 Updated due to quarterly assessment and reallocation
03/14/2014
$
7,680,000
$
563,620,059 Transfer of cap due to servicing transfer
03/26/2014
$
(92,836)
$
563,527,223 Updated due to quarterly assessment and reallocation
06/26/2014
$
(1,090,169)
$
562,437,054 Updated due to quarterly assessment and reallocation
07/29/2014
$
(2,140,858)
$
560,296,196 Updated due to quarterly assessment and reallocation
08/14/2014
$
(940,000)
$
559,356,196 Transfer of cap due to servicing transfer
09/29/2014
$
(704,516)
$
558,651,680 Updated due to quarterly assessment and reallocation
10/16/2014
$
10,000
$
558,661,680 Transfer of cap due to servicing transfer
11/14/2014
$
(1,380,000)
$
557,281,680 Transfer of cap due to servicing transfer
12/29/2014
$
(81,896,499)
$
475,385,181 Updated due to quarterly assessment and reallocation
03/16/2015
$
(840,000)
$
474,545,181 Transfer of cap due to servicing transfer
03/26/2015
$
(30,405,344)
$
444,139,837 Updated due to quarterly assessment and reallocation
04/28/2015
$
(109,179,651)
$
334,960,186 Updated due to quarterly assessment and reallocation
06/25/2015
$
(25,425,688)
$
309,534,498 Updated due to quarterly assessment and reallocation
09/28/2015
$
(33,194,831)
$
276,339,667 Updated due to quarterly assessment and reallocation
10/15/2015
$
(30,000)
$
276,309,667 Transfer of cap due to servicing transfer
11/16/2015
$
(2,810,000)
$
273,499,667 Transfer of cap due to servicing transfer
12/28/2015
$
(24,862,414)
$
248,637,253 Updated due to quarterly assessment and reallocation
02/25/2016
$
(75,905,149)
$
172,732,104 Reallocation due to MHA program deobligation
03/28/2016
$
(1,587,446)
$
171,144,658 Updated due to quarterly assessment and reallocation
04/14/2016
$
30,000
$
171,174,658 Transfer of cap due to servicing transfer
05/31/2016
$
(11,526,843)
$
159,647,815 Updated due to quarterly assessment and reallocation
06/16/2016
$
(810,000)
$
158,837,815 Transfer of cap due to servicing transfer
06/27/2016
$
(7,133,429)
$
151,704,386 Updated due to quarterly assessment and reallocation
07/27/2016
$
(7,216,359)
$
144,488,027 Updated due to quarterly assessment and reallocation
09/15/2016
$
20,000
$
144,508,027 Transfer of cap due to servicing transfer
09/28/2016
$
(12,171,310)
$
132,336,717 Updated due to quarterly assessment and reallocation
10/25/2016
$
(11,467,598)
$
120,869,119 Updated due to quarterly assessment and reallocation
11/07/2016
$
4,421,162
$
125,290,281 Updated due to quarterly assessment and reallocation
11/29/2016
$
(125,869)
$
125,164,412 Updated due to quarterly assessment and reallocation
12/15/2016
$
(390,000)
$
124,774,412 Transfer of cap due to servicing transfer
12/27/2016
$
(17,978)
$
124,756,434 Transfer of cap due to servicing transfer
01/13/2017
$
(410,000)
$
124,346,434 Transfer of cap due to servicing transfer
02/27/2017
$
(303,316)
$
124,043,118 Transfer of cap due to servicing transfer
03/16/2017
$
(90,000)
$
123,953,118 Transfer of cap due to servicing transfer
04/26/2017
$
(19,960)
$
123,933,158 Transfer of cap due to servicing transfer
6,491,556 Transfer of cap due to servicing transfer
127
Servicer Modifying Borrowers' Loans
Date
03/15/2012
07/29/2009
Name of Institution
City
PrimeWest Mortgage
Corporation
Lubbock
Purdue Federal Credit Union
(Purdue Employees Federal
West Lafayette
11/18/2009 QLending, Inc.
Coral Gables
Adjustment Details
State
TX
IN
FL
Transaction
Type
Purchase
Purchase
Purchase
Investment Description
Cap of Incentive Payments on
Behalf of Borrowers and to
Servicers & Lenders/Investors
(Cap) *
Financial Instrument for Home Loan Modifications
Financial Instrument for Home Loan Modifications
Financial Instrument for Home Loan Modifications
Pricing
Mechanism
- N/A
$
$
1,090,000 N/A
20,000 N/A
Note
3
Adjustment
Date
CAP Adjustment Amount
Adjusted CAP
Reason for Adjustment
06/26/2017
$
(157,746)
$
123,775,412 Transfer of cap due to servicing transfer
07/26/2017
$
(4,885)
$
123,770,527 Updated due to quarterly assessment and reallocation
09/26/2017
$
(5,480,538)
$
118,289,989 Transfer of cap due to servicing transfer
10/26/2017
$
(709,097)
$
117,580,892 Transfer of cap due to servicing transfer
12/21/2017
$
(830,788)
$
116,750,104 Transfer of cap due to servicing transfer
03/15/2012
$
100,000
$
100,000 Transfer of cap due to servicing transfer
06/15/2017
$
(100,000)
09/30/2009
$
(60,000)
$
1,030,000 Updated portfolio data from servicer/additional program initial cap
12/30/2009
$
1,260,000
$
2,290,000 Updated portfolio data from servicer/additional program initial cap
03/26/2010
$
2,070,000
$
4,360,000 Updated portfolio data from servicer
07/14/2010
$
(3,960,000)
$
400,000 Updated portfolio data from servicer
09/30/2010
$
180,222
$
580,222 Updated portfolio data from servicer
01/06/2011
$
(1)
$
580,221 Updated due to quarterly assessment and reallocation
03/30/2011
$
(1)
$
580,220 Updated due to quarterly assessment and reallocation
06/29/2011
$
(8)
$
580,212 Updated due to quarterly assessment and reallocation
06/28/2012
$
(6)
$
580,206 Updated due to quarterly assessment and reallocation
09/27/2012
$
(17)
$
580,189 Updated due to quarterly assessment and reallocation
12/27/2012
$
(3)
$
580,186 Updated due to quarterly assessment and reallocation
03/25/2013
$
(11)
$
580,175 Updated due to quarterly assessment and reallocation
06/27/2013
$
(4)
$
580,171 Updated due to quarterly assessment and reallocation
09/27/2013
$
(1)
$
580,170 Updated due to quarterly assessment and reallocation
12/23/2013
$
(2,474)
$
577,696 Updated due to quarterly assessment and reallocation
03/26/2014
$
(87)
$
577,609 Updated due to quarterly assessment and reallocation
06/26/2014
$
(1,027)
$
576,582 Updated due to quarterly assessment and reallocation
07/29/2014
$
(2,039)
$
574,543 Updated due to quarterly assessment and reallocation
09/29/2014
$
(673)
$
573,870 Updated due to quarterly assessment and reallocation
12/29/2014
$
(81,582)
$
492,288 Updated due to quarterly assessment and reallocation
03/26/2015
$
(30,682)
$
461,606 Updated due to quarterly assessment and reallocation
04/28/2015
$
(120,932)
$
340,674 Updated due to quarterly assessment and reallocation
06/25/2015
$
(28,680)
$
311,994 Updated due to quarterly assessment and reallocation
09/28/2015
$
(38,312)
$
273,682 Updated due to quarterly assessment and reallocation
12/28/2015
$
(28,353)
$
245,329 Updated due to quarterly assessment and reallocation
02/25/2016
$
(80,972)
$
164,357 Reallocation due to MHA program deobligation
03/28/2016
$
(1,691)
$
162,666 Updated due to quarterly assessment and reallocation
05/31/2016
$
(13,238)
$
149,428 Updated due to quarterly assessment and reallocation
06/27/2016
$
(7,908)
$
141,520 Updated due to quarterly assessment and reallocation
07/27/2016
$
(7,911)
$
133,609 Updated due to quarterly assessment and reallocation
09/28/2016
$
(13,835)
$
119,774 Updated due to quarterly assessment and reallocation
10/25/2016
$
(13,073)
$
106,701 Updated due to quarterly assessment and reallocation
11/07/2016
$
5,040
$
111,741 Updated due to quarterly assessment and reallocation
11/29/2016
$
(90)
$
111,651 Updated due to quarterly assessment and reallocation
12/27/2016
$
(14)
$
111,637 Transfer of cap due to servicing transfer
02/27/2017
$
(240)
$
111,397 Transfer of cap due to servicing transfer
04/26/2017
$
(16)
$
111,381 Transfer of cap due to servicing transfer
06/26/2017
$
(121)
$
111,260 Transfer of cap due to servicing transfer
07/26/2017
$
(4)
$
111,256 Updated due to quarterly assessment and reallocation
09/26/2017
$
(4,816)
$
106,440 Transfer of cap due to servicing transfer
10/26/2017
$
(597)
$
105,843 Transfer of cap due to servicing transfer
12/21/2017
$
(622)
$
105,221 Transfer of cap due to servicing transfer
03/26/2010
$
(10,000)
$
10,000 Updated portfolio data from servicer
07/14/2010
$
90,000
$
100,000 Updated portfolio data from servicer
09/30/2010
$
45,056
$
145,056 Updated portfolio data from servicer
06/29/2011
$
(1)
$
145,055 Updated due to quarterly assessment and reallocation
06/28/2012
$
(1)
$
145,054 Updated due to quarterly assessment and reallocation
09/27/2012
$
(2)
$
145,052 Updated due to quarterly assessment and reallocation
03/25/2013
$
(1)
$
145,051 Updated due to quarterly assessment and reallocation
12/23/2013
$
(232)
$
144,819 Updated due to quarterly assessment and reallocation
03/26/2014
$
(8)
$
144,811 Updated due to quarterly assessment and reallocation
06/26/2014
$
(96)
$
144,715 Updated due to quarterly assessment and reallocation
07/29/2014
$
(191)
$
144,524 Updated due to quarterly assessment and reallocation
09/29/2014
$
(63)
$
144,461 Updated due to quarterly assessment and reallocation
12/29/2014
$
(7,654)
$
136,807 Updated due to quarterly assessment and reallocation
03/26/2015
$
(2,879)
$
133,928 Updated due to quarterly assessment and reallocation
04/28/2015
$
(11,347)
$
122,581 Updated due to quarterly assessment and reallocation
06/25/2015
$
(2,691)
$
119,890 Updated due to quarterly assessment and reallocation
09/28/2015
$
(3,595)
$
116,295 Updated due to quarterly assessment and reallocation
12/28/2015
$
(2,660)
$
113,635 Updated due to quarterly assessment and reallocation
02/25/2016
$
(7,597)
$
106,038 Reallocation due to MHA program deobligation
03/28/2016
$
(159)
$
105,879 Updated due to quarterly assessment and reallocation
- Termination of SPA
128
Servicer Modifying Borrowers' Loans
Date
Name of Institution
11/18/2009 Quantum Servicing Corporation
12/14/2012 Quicken Loans Inc
09/01/2010 RBC Bank (USA)
City
Tampa
Detroit
Raleigh
Adjustment Details
State
FL
MI
NC
Transaction
Type
Purchase
Purchase
Purchase
Investment Description
Financial Instrument for Home Loan Modifications
Cap of Incentive Payments on
Behalf of Borrowers and to
Servicers & Lenders/Investors
(Cap) *
$
Financial Instrument for Home Loan Modifications
Financial Instrument for Home Loan Modifications
Pricing
Mechanism
TX
Purchase
Financial Instrument for Home Loan Modifications
$
Adjusted CAP
Reason for Adjustment
$
(1,242)
$
104,637 Updated due to quarterly assessment and reallocation
$
(742)
$
103,895 Updated due to quarterly assessment and reallocation
07/27/2016
$
(742)
$
103,153 Updated due to quarterly assessment and reallocation
08/29/2016
$
(103,153)
01/22/2010
$
890,000
$
19,850,000 Updated portfolio data from servicer/additional program initial cap
03/26/2010
$
3,840,000
$
23,690,000 Updated portfolio data from servicer
07/14/2010
$
(2,890,000)
$
20,800,000 Updated portfolio data from servicer
09/30/2010
$
9,661,676
$
30,461,676 Updated portfolio data from servicer
01/06/2011
$
(46)
$
30,461,630 Updated due to quarterly assessment and reallocation
01/13/2011
$
1,600,000
$
32,061,630 Transfer of cap due to servicing transfer
02/16/2011
$
1,400,000
$
33,461,630 Transfer of cap due to servicing transfer
03/30/2011
$
(58)
$
33,461,572 Updated due to quarterly assessment and reallocation
04/13/2011
$
100,000
$
33,561,572 Transfer of cap due to servicing transfer
05/13/2011
$
100,000
$
33,661,572 Transfer of cap due to servicing transfer
06/16/2011
$
800,000
$
34,461,572 Transfer of cap due to servicing transfer
06/29/2011
$
(559)
$
34,461,013 Updated due to quarterly assessment and reallocation
07/14/2011
$
300,000
$
34,761,013 Transfer of cap due to servicing transfer
08/16/2011
$
200,000
$
34,961,013 Transfer of cap due to servicing transfer
09/15/2011
$
100,000
$
35,061,013 Transfer of cap due to servicing transfer
01/13/2012
$
100,000
$
35,161,013 Transfer of cap due to servicing transfer
06/14/2012
$
330,000
$
35,491,013 Transfer of cap due to servicing transfer
06/28/2012
$
(428)
$
35,490,585 Updated due to quarterly assessment and reallocation
09/27/2012
$
(1,184)
$
35,489,401 Updated due to quarterly assessment and reallocation
10/16/2012
$
(1,910,000)
$
33,579,401 Transfer of cap due to servicing transfer
11/15/2012
$
(980,000)
$
32,599,401 Transfer of cap due to servicing transfer
12/27/2012
$
(187)
$
32,599,214 Updated due to quarterly assessment and reallocation
03/25/2013
$
(707)
$
32,598,507 Updated due to quarterly assessment and reallocation
04/16/2013
$
(240,000)
$
32,358,507 Transfer of cap due to servicing transfer
06/27/2013
$
(268)
$
32,358,239 Updated due to quarterly assessment and reallocation
07/16/2013
$
10,000
$
32,368,239 Transfer of cap due to servicing transfer
09/27/2013
$
(96)
$
32,368,143 Updated due to quarterly assessment and reallocation
11/14/2013
$
(20,000)
$
32,348,143 Transfer of cap due to servicing transfer
12/23/2013
$
(162,518)
$
32,185,625 Updated due to quarterly assessment and reallocation
6
02/27/2014
$
(31,540,186)
$
3
12/14/2012
$
10,000
$
10,000 Transfer of cap due to servicing transfer
08/15/2013
$
10,000
$
20,000 Transfer of cap due to servicing transfer
03/14/2014
$
30,000
$
50,000 Transfer of cap due to servicing transfer
05/15/2014
$
10,000
$
60,000 Transfer of cap due to servicing transfer
01/15/2015
$
10,000
$
09/30/2010
$
45,056
$
145,056 Updated portfolio data from servicer
01/06/2011
$
34,944
$
180,000 Updated due to quarterly assessment and reallocation
03/30/2011
$
40,000
$
220,000 Updated due to quarterly assessment and reallocation
06/29/2011
$
50,000
$
270,000 Updated due to quarterly assessment and reallocation
03/15/2012
$
(200,000)
$
06/14/2012
$
(10,000)
$
04/09/2013
$
(60,000)
09/30/2009
$
(1,860,000)
$
17,540,000 Updated portfolio data from servicer/additional program initial cap
12/30/2009
$
27,920,000
$
45,460,000 Updated portfolio data from servicer/additional program initial cap
100,000 N/A
19,400,000 N/A
CAP Adjustment Amount
06/27/2016
9
06/12/2009 Residential Credit Solutions, Inc. Fort Worth
Adjustment
Date
05/31/2016
18,960,000 N/A
- N/A
$
Note
- Termination of SPA
645,439 Termination of SPA
70,000 Transfer of cap due to servicing transfer
70,000 Transfer of cap due to servicing transfer
60,000 Transfer of cap due to servicing transfer
- Termination of SPA
03/26/2010
$
(1,390,000)
$
44,070,000 Updated portfolio data from servicer
07/14/2010
$
(13,870,000)
$
30,200,000 Updated portfolio data from servicer
09/30/2010
$
400,000
$
30,600,000 Updated portfolio data from servicer/additional program initial cap
09/30/2010
$
586,954
$
31,186,954 Updated portfolio data from servicer
01/06/2011
$
(34)
$
31,186,920 Updated due to quarterly assessment and reallocation
03/30/2011
$
(37)
$
31,186,883 Updated due to quarterly assessment and reallocation
04/13/2011
$
100,000
$
31,286,883 Transfer of cap due to servicing transfer
06/29/2011
$
(329)
$
31,286,554 Updated due to quarterly assessment and reallocation
09/15/2011
$
(1,900,000)
$
29,386,554 Transfer of cap due to servicing transfer
11/16/2011
$
2,800,000
$
32,186,554 Transfer of cap due to servicing transfer
05/16/2012
$
420,000
$
32,606,554 Transfer of cap due to servicing transfer
06/14/2012
$
8,060,000
$
40,666,554 Transfer of cap due to servicing transfer
06/28/2012
$
(313)
$
40,666,241 Updated due to quarterly assessment and reallocation
07/16/2012
$
2,160,000
$
42,826,241 Transfer of cap due to servicing transfer
09/27/2012
$
(911)
$
42,825,330 Updated due to quarterly assessment and reallocation
10/16/2012
$
5,690,000
$
48,515,330 Transfer of cap due to servicing transfer
11/15/2012
$
20,000
$
48,535,330 Transfer of cap due to servicing transfer
12/27/2012
$
(178)
$
48,535,152 Updated due to quarterly assessment and reallocation
02/14/2013
$
3,190,000
$
51,725,152 Transfer of cap due to servicing transfer
03/14/2013
$
(260,000)
$
51,465,152 Transfer of cap due to servicing transfer
03/25/2013
$
(713)
$
51,464,439 Updated due to quarterly assessment and reallocation
129
Servicer Modifying Borrowers' Loans
Date
Name of Institution
City
Adjustment Details
State
Transaction
Type
Investment Description
Cap of Incentive Payments on
Behalf of Borrowers and to
Servicers & Lenders/Investors
(Cap) *
Pricing
Mechanism
Note
Adjustment
Date
CAP Adjustment Amount
Adjusted CAP
Reason for Adjustment
04/16/2013
$
1,330,000
$
52,794,439 Transfer of cap due to servicing transfer
05/16/2013
$
100,000
$
52,894,439 Transfer of cap due to servicing transfer
06/14/2013
$
20,000
$
52,914,439 Transfer of cap due to servicing transfer
06/27/2013
$
(264)
$
52,914,175 Updated due to quarterly assessment and reallocation
07/16/2013
$
6,080,000
$
58,994,175 Transfer of cap due to servicing transfer
09/16/2013
$
(2,130,000)
$
56,864,175 Transfer of cap due to servicing transfer
09/27/2013
$
(101)
$
56,864,074 Updated due to quarterly assessment and reallocation
10/15/2013
$
6,910,000
$
63,774,074 Transfer of cap due to servicing transfer
12/16/2013
$
(1,050,000)
$
62,724,074 Transfer of cap due to servicing transfer
12/23/2013
$
(173,584)
$
62,550,490 Updated due to quarterly assessment and reallocation
01/16/2014
$
1,310,000
$
63,860,490 Transfer of cap due to servicing transfer
02/13/2014
$
(2,210,000)
$
61,650,490 Transfer of cap due to servicing transfer
03/14/2014
$
(1,390,000)
$
60,260,490 Transfer of cap due to servicing transfer
03/26/2014
$
(5,632)
$
60,254,858 Updated due to quarterly assessment and reallocation
04/16/2014
$
(220,000)
$
60,034,858 Transfer of cap due to servicing transfer
05/15/2014
$
940,000
$
60,974,858 Transfer of cap due to servicing transfer
06/16/2014
$
(640,000)
$
60,334,858 Transfer of cap due to servicing transfer
06/26/2014
$
(63,739)
$
60,271,119 Updated due to quarterly assessment and reallocation
07/16/2014
$
1,000,000
$
61,271,119 Transfer of cap due to servicing transfer
07/29/2014
$
(128,318)
$
61,142,801 Updated due to quarterly assessment and reallocation
08/14/2014
$
(2,700,000)
$
58,442,801 Transfer of cap due to servicing transfer
09/16/2014
$
(2,860,000)
$
55,582,801 Transfer of cap due to servicing transfer
09/29/2014
$
(37,047)
$
55,545,754 Updated due to quarterly assessment and reallocation
10/16/2014
$
690,000
$
56,235,754 Transfer of cap due to servicing transfer
11/14/2014
$
40,000
$
56,275,754 Transfer of cap due to servicing transfer
12/16/2014
$
(780,000)
$
55,495,754 Transfer of cap due to servicing transfer
12/29/2014
$
(3,041,582)
$
52,454,172 Updated due to quarterly assessment and reallocation
01/15/2015
$
(270,000)
$
52,184,172 Transfer of cap due to servicing transfer
02/13/2015
$
1,300,000
$
53,484,172 Transfer of cap due to servicing transfer
03/16/2015
$
(140,000)
$
53,344,172 Transfer of cap due to servicing transfer
03/26/2015
$
(1,134,415)
$
52,209,757 Updated due to quarterly assessment and reallocation
04/16/2015
$
(10,000)
$
52,199,757 Transfer of cap due to servicing transfer
04/28/2015
$
(4,012,710)
$
48,187,047 Updated due to quarterly assessment and reallocation
05/14/2015
$
570,000
$
48,757,047 Transfer of cap due to servicing transfer
06/16/2015
$
350,000
$
49,107,047 Transfer of cap due to servicing transfer
06/25/2015
$
(936,320)
$
48,170,727 Updated due to quarterly assessment and reallocation
07/16/2015
$
(40,000)
$
48,130,727 Transfer of cap due to servicing transfer
08/14/2015
$
10,000
$
48,140,727 Transfer of cap due to servicing transfer
09/16/2015
$
(300,000)
$
47,840,727 Transfer of cap due to servicing transfer
09/28/2015
$
(999,808)
$
46,840,919 Updated due to quarterly assessment and reallocation
10/15/2015
$
290,000
$
47,130,919 Transfer of cap due to servicing transfer
11/16/2015
$
(120,000)
$
47,010,919 Transfer of cap due to servicing transfer
12/16/2015
$
(250,000)
$
46,760,919 Transfer of cap due to servicing transfer
12/28/2015
$
(660,712)
$
46,100,207 Updated due to quarterly assessment and reallocation
02/16/2016
$
(3,250,000)
$
42,850,207 Transfer of cap due to servicing transfer
02/25/2016
$
(3,134,539)
$
39,715,668 Reallocation due to MHA program deobligation
03/16/2016
$
(2,070,000)
$
37,645,668 Transfer of cap due to servicing transfer
03/28/2016
$
(86,358)
$
37,559,310 Updated due to quarterly assessment and reallocation
04/14/2016
$
(8,730,000)
$
28,829,310 Transfer of cap due to servicing transfer
05/16/2016
$
(350,000)
$
28,479,310 Transfer of cap due to servicing transfer
05/31/2016
$
(80,165)
$
28,399,145 Updated due to quarterly assessment and reallocation
06/16/2016
$
20,000
$
28,419,145 Transfer of cap due to servicing transfer
06/27/2016
$
(46,949)
$
28,372,196 Updated due to quarterly assessment and reallocation
07/14/2016
$
(1,880,000)
$
26,492,196 Transfer of cap due to servicing transfer
07/27/2016
$
27,521
$
26,519,717 Updated due to quarterly assessment and reallocation
08/16/2016
$
(10,000)
$
26,509,717 Transfer of cap due to servicing transfer
09/15/2016
$
(10,000)
$
26,499,717 Transfer of cap due to servicing transfer
09/28/2016
$
20,000
$
26,519,717 Updated due to quarterly assessment and reallocation
10/14/2016
$
(300,000)
$
26,219,717 Transfer of cap due to servicing transfer
10/25/2016
$
(40,725)
$
26,178,992 Updated due to quarterly assessment and reallocation
11/07/2016
$
15,701
$
26,194,693 Updated due to quarterly assessment and reallocation
11/16/2016
$
(60,000)
$
26,134,693 Transfer of cap due to servicing transfer
11/29/2016
$
(11,032)
$
26,123,661 Updated due to quarterly assessment and reallocation
12/15/2016
$
(10,000)
$
26,113,661 Transfer of cap due to servicing transfer
12/27/2016
$
(1,735)
$
26,111,926 Transfer of cap due to servicing transfer
02/16/2017
$
10,000
$
26,121,926 Transfer of cap due to servicing transfer
02/27/2017
$
(30,410)
$
26,091,516 Transfer of cap due to servicing transfer
03/16/2017
$
(50,000)
$
26,041,516 Transfer of cap due to servicing transfer
04/26/2017
$
(2,027)
$
26,039,489 Transfer of cap due to servicing transfer
130
Servicer Modifying Borrowers' Loans
Date
Name of Institution
City
06/14/2012 Resurgent Capital Solutions L.P. Greenville
Adjustment Details
State
SC
Transaction
Type
Purchase
Investment Description
Cap of Incentive Payments on
Behalf of Borrowers and to
Servicers & Lenders/Investors
(Cap) *
Financial Instrument for Home Loan Modifications
Pricing
Mechanism
- N/A
Note
06/16/2016 Rockland Trust Company
01/13/2010 Roebling Bank
San Juan
PR
Purchase
Financial Instrument for Home Loan Modifications
Rockland
MA
Purchase
Financial Instrument for Home Loan Modifications
Roebling
NJ
Purchase
Financial Instrument for Home Loan Modifications
RoundPoint Mortgage Servicing
08/28/2009
Charlotte
Corporation
NC
Purchase
Financial Instrument for Home Loan Modifications
$
$
$
240,000 N/A
570,000 N/A
Adjusted CAP
Reason for Adjustment
$
(15,805)
$
26,023,684 Transfer of cap due to servicing transfer
07/26/2017
$
(489)
$
26,023,195 Updated due to quarterly assessment and reallocation
09/26/2017
$
(27,965)
$
25,995,230 Transfer of cap due to servicing transfer
10/26/2017
$
(3,468)
$
25,991,762 Transfer of cap due to servicing transfer
6
11/16/2017
$
(3,928,073)
$
22,063,690 Termination of SPA
3
06/14/2012
$
940,000
$
06/28/2012
$
205,242
$
1,145,242 Updated due to quarterly assessment and reallocation
940,000 Transfer of cap due to servicing transfer
09/27/2012
$
(3)
$
1,145,239 Updated due to quarterly assessment and reallocation
12/27/2012
$
(1)
$
1,145,238 Updated due to quarterly assessment and reallocation
01/16/2013
$
10,000
$
02/14/2013
$
8,690,000
$
9,845,238 Transfer of cap due to servicing transfer
03/14/2013
$
1,390,000
$
11,235,238 Transfer of cap due to servicing transfer
03/25/2013
$
(219)
$
11,235,019 Updated due to quarterly assessment and reallocation
05/16/2013
$
620,000
$
11,855,019 Transfer of cap due to servicing transfer
06/14/2013
$
990,000
$
12,845,019 Transfer of cap due to servicing transfer
06/27/2013
$
(96)
$
12,844,923 Updated due to quarterly assessment and reallocation
07/16/2013
$
5,780,000
$
18,624,923 Transfer of cap due to servicing transfer
09/27/2013
$
(50)
$
18,624,873 Updated due to quarterly assessment and reallocation
10/15/2013
$
880,000
$
19,504,873 Transfer of cap due to servicing transfer
11/14/2013
$
6,610,000
$
26,114,873 Transfer of cap due to servicing transfer
12/16/2013
$
20,000
$
26,134,873 Transfer of cap due to servicing transfer
12/23/2013
$
(118,329)
$
26,016,544 Updated due to quarterly assessment and reallocation
01/16/2014
$
1,770,000
$
27,786,544 Transfer of cap due to servicing transfer
02/13/2014
$
23,920,000
$
51,706,544 Transfer of cap due to servicing transfer
03/14/2014
$
1,460,000
$
53,166,544 Transfer of cap due to servicing transfer
03/26/2014
$
(7,186)
$
53,159,358 Updated due to quarterly assessment and reallocation
04/16/2014
$
2,370,000
$
55,529,358 Transfer of cap due to servicing transfer
05/15/2014
$
1,990,000
$
57,519,358 Transfer of cap due to servicing transfer
06/16/2014
$
1,720,000
$
59,239,358 Transfer of cap due to servicing transfer
06/26/2014
$
(96,715)
$
59,142,643 Updated due to quarterly assessment and reallocation
07/16/2014
$
1,310,000
$
60,452,643 Transfer of cap due to servicing transfer
07/29/2014
$
(197,950)
$
60,254,693 Updated due to quarterly assessment and reallocation
09/16/2014
$
(56,740,004)
$
09/29/2014
$
488,713
$
4,003,402 Updated due to quarterly assessment and reallocation
11/03/2014
$
(800,680)
$
3,202,722 Termination of SPA
09/30/2009
$
(11,300,000)
$
12/30/2009
$
(42,210,000)
$
03/26/2010
$
65,640,000
$
69,130,000 Updated portfolio data from servicer
04/09/2010
$
(14,470,000)
$
54,660,000 Updated portfolio data from servicer
07/14/2010
$
(8,860,000)
$
45,800,000 Updated portfolio data from servicer
09/30/2010
$
(4,459,154)
$
41,340,846 Updated portfolio data from servicer
12/15/2010
$
(4,300,000)
$
37,040,846 Transfer of cap due to servicing transfer
01/06/2011
$
(51)
$
37,040,795 Updated due to quarterly assessment and reallocation
03/30/2011
$
(65)
$
37,040,730 Updated due to quarterly assessment and reallocation
06/29/2011
$
(616)
$
37,040,114 Updated due to quarterly assessment and reallocation
06/28/2012
$
(462)
$
37,039,652 Updated due to quarterly assessment and reallocation
09/27/2012
$
(1,270)
$
37,038,382 Updated due to quarterly assessment and reallocation
12/27/2012
$
(214)
$
37,038,168 Updated due to quarterly assessment and reallocation
03/25/2013
$
(812)
$
37,037,356 Updated due to quarterly assessment and reallocation
06/27/2013
$
(306)
$
37,037,050 Updated due to quarterly assessment and reallocation
09/27/2013
$
(110)
$
37,036,940 Updated due to quarterly assessment and reallocation
12/23/2013
$
(185,423)
$
36,851,517 Updated due to quarterly assessment and reallocation
03/26/2014
$
(6,518)
$
36,844,999 Updated due to quarterly assessment and reallocation
06/26/2014
$
(77,004)
$
36,767,995 Updated due to quarterly assessment and reallocation
07/29/2014
$
(152,943)
$
36,615,052 Updated due to quarterly assessment and reallocation
09/29/2014
$
(50,520)
$
36,564,532 Updated due to quarterly assessment and reallocation
10/16/2014
$
(30,000)
$
36,534,532 Transfer of cap due to servicing transfer
6
11/03/2014
$
(35,740,763)
$
3
06/16/2016
$
40,000
$
03/26/2010
$
610,000
$
850,000 Updated portfolio data from servicer
07/14/2010
$
50,000
$
900,000 Updated portfolio data from servicer
09/30/2010
$
(29,666)
$
870,334 Updated portfolio data from servicer
01/06/2011
$
(1)
$
870,333 Updated due to quarterly assessment and reallocation
03/23/2011
$
(870,333)
10/02/2009
$
130,000
$
700,000 Updated portfolio data from servicer/additional program initial cap
12/30/2009
$
(310,000)
$
03/26/2010
$
2,110,000
$
2,500,000 Updated portfolio data from servicer
57,000,000 N/A
- N/A
CAP Adjustment Amount
06/26/2017
15
06/17/2009 RG Mortgage Corporation
Adjustment
Date
1,155,238 Transfer of cap due to servicing transfer
3,514,689 Transfer of cap due to servicing transfer
45,700,000 Updated portfolio data from servicer/additional program initial cap
3,490,000 Updated portfolio data from servicer/additional program initial cap
793,769 Termination of SPA
40,000 Transfer of cap due to servicing transfer
- Termination of SPA
390,000 Updated portfolio data from servicer/additional program initial cap
07/14/2010
$
8,300,000
$
10,800,000 Updated portfolio data from servicer
09/30/2010
$
5,301,172
$
16,101,172 Updated portfolio data from servicer
131
Servicer Modifying Borrowers' Loans
Date
Name of Institution
Rushmore Loan Management
12/15/2011
Services LLC
City
Irvine
Adjustment Details
State
CA
Transaction
Type
Purchase
Investment Description
Financial Instrument for Home Loan Modifications
Cap of Incentive Payments on
Behalf of Borrowers and to
Servicers & Lenders/Investors
(Cap) *
Pricing
Mechanism
- N/A
Note
3
Adjustment
Date
CAP Adjustment Amount
Adjusted CAP
Reason for Adjustment
01/06/2011
$
(22)
$
16,101,150 Updated due to quarterly assessment and reallocation
03/16/2011
$
(400,000)
$
15,701,150 Transfer of cap due to servicing transfer
03/30/2011
$
(25)
$
15,701,125 Updated due to quarterly assessment and reallocation
06/29/2011
$
(232)
$
15,700,893 Updated due to quarterly assessment and reallocation
06/28/2012
$
(174)
$
15,700,719 Updated due to quarterly assessment and reallocation
09/27/2012
$
(479)
$
15,700,240 Updated due to quarterly assessment and reallocation
11/15/2012
$
(350,000)
$
15,350,240 Transfer of cap due to servicing transfer
12/27/2012
$
(82)
$
15,350,158 Updated due to quarterly assessment and reallocation
03/25/2013
$
(308)
$
15,349,850 Updated due to quarterly assessment and reallocation
04/16/2013
$
80,000
$
15,429,850 Transfer of cap due to servicing transfer
06/14/2013
$
20,000
$
15,449,850 Transfer of cap due to servicing transfer
06/27/2013
$
(108)
$
15,449,742 Updated due to quarterly assessment and reallocation
07/16/2013
$
30,000
$
15,479,742 Transfer of cap due to servicing transfer
09/16/2013
$
640,000
$
16,119,742 Transfer of cap due to servicing transfer
09/27/2013
$
(40)
$
16,119,702 Updated due to quarterly assessment and reallocation
12/16/2013
$
190,000
$
16,309,702 Transfer of cap due to servicing transfer
12/23/2013
$
(67,286)
$
16,242,416 Updated due to quarterly assessment and reallocation
01/16/2014
$
520,000
$
16,762,416 Transfer of cap due to servicing transfer
02/13/2014
$
10,000
$
16,772,416 Transfer of cap due to servicing transfer
03/14/2014
$
(30,000)
$
16,742,416 Transfer of cap due to servicing transfer
03/26/2014
$
(2,463)
$
16,739,953 Updated due to quarterly assessment and reallocation
04/16/2014
$
(20,000)
$
16,719,953 Transfer of cap due to servicing transfer
06/26/2014
$
(28,873)
$
16,691,080 Updated due to quarterly assessment and reallocation
07/16/2014
$
480,000
$
17,171,080 Transfer of cap due to servicing transfer
07/29/2014
$
(59,055)
$
17,112,025 Updated due to quarterly assessment and reallocation
08/14/2014
$
360,000
$
17,472,025 Transfer of cap due to servicing transfer
09/29/2014
$
(19,992)
$
17,452,033 Updated due to quarterly assessment and reallocation
10/16/2014
$
530,000
$
17,982,033 Transfer of cap due to servicing transfer
12/16/2014
$
(120,000)
$
17,862,033 Transfer of cap due to servicing transfer
12/29/2014
$
(2,352,678)
$
15,509,355 Updated due to quarterly assessment and reallocation
03/26/2015
$
(891,303)
$
14,618,052 Updated due to quarterly assessment and reallocation
04/28/2015
$
(3,450,733)
$
11,167,319 Updated due to quarterly assessment and reallocation
05/14/2015
$
(50,000)
$
11,117,319 Transfer of cap due to servicing transfer
06/25/2015
$
(822,251)
$
10,295,068 Updated due to quarterly assessment and reallocation
08/14/2015
$
20,000
$
10,315,068 Transfer of cap due to servicing transfer
09/28/2015
$
(1,064,251)
$
9,250,817 Updated due to quarterly assessment and reallocation
12/16/2015
$
10,000
$
9,260,817 Transfer of cap due to servicing transfer
12/28/2015
$
(732,290)
$
8,528,527 Updated due to quarterly assessment and reallocation
01/14/2016
$
50,000
$
8,578,527 Transfer of cap due to servicing transfer
02/16/2016
$
10,000
$
8,588,527 Transfer of cap due to servicing transfer
02/25/2016
$
(2,314,829)
$
6,273,698 Reallocation due to MHA program deobligation
03/16/2016
$
200,000
$
6,473,698 Transfer of cap due to servicing transfer
03/28/2016
$
(55,575)
$
6,418,123 Updated due to quarterly assessment and reallocation
05/16/2016
$
20,000
$
6,438,123 Transfer of cap due to servicing transfer
05/31/2016
$
(455,300)
$
5,982,823 Updated due to quarterly assessment and reallocation
06/16/2016
$
(10,000)
$
5,972,823 Transfer of cap due to servicing transfer
06/27/2016
$
(271,492)
$
5,701,331 Updated due to quarterly assessment and reallocation
07/27/2016
$
(268,395)
$
5,432,936 Updated due to quarterly assessment and reallocation
09/15/2016
$
1,230,000
$
6,662,936 Transfer of cap due to servicing transfer
09/28/2016
$
(928,842)
$
5,734,094 Updated due to quarterly assessment and reallocation
10/25/2016
$
(897,584)
$
4,836,510 Updated due to quarterly assessment and reallocation
11/07/2016
$
346,050
$
5,182,560 Updated due to quarterly assessment and reallocation
11/29/2016
$
(7,813)
$
5,174,747 Updated due to quarterly assessment and reallocation
12/15/2016
$
(680,000)
$
4,494,747 Transfer of cap due to servicing transfer
12/27/2016
$
(1,170)
$
4,493,577 Transfer of cap due to servicing transfer
01/13/2017
$
(150,000)
$
4,343,577 Transfer of cap due to servicing transfer
02/16/2017
$
(40,000)
$
4,303,577 Transfer of cap due to servicing transfer
02/27/2017
$
(18,729)
$
4,284,848 Transfer of cap due to servicing transfer
04/26/2017
$
(1,189)
$
4,283,659 Transfer of cap due to servicing transfer
06/26/2017
$
(8,754)
$
4,274,905 Transfer of cap due to servicing transfer
07/26/2017
$
(258)
$
4,274,647 Updated due to quarterly assessment and reallocation
09/26/2017
$
(266,556)
$
4,008,091 Transfer of cap due to servicing transfer
10/26/2017
$
(34,323)
$
3,973,768 Transfer of cap due to servicing transfer
12/21/2017
$
(39,577)
$
3,934,191 Transfer of cap due to servicing transfer
12/15/2011
$
200,000
$
200,000 Transfer of cap due to servicing transfer
04/16/2012
$
600,000
$
800,000 Transfer of cap due to servicing transfer
06/28/2012
$
(3)
$
799,997 Updated due to quarterly assessment and reallocation
08/16/2012
$
110,000
$
909,997 Transfer of cap due to servicing transfer
09/27/2012
$
(13)
$
909,984 Updated due to quarterly assessment and reallocation
132
Servicer Modifying Borrowers' Loans
Date
Name of Institution
City
Adjustment Details
State
Transaction
Type
Investment Description
Cap of Incentive Payments on
Behalf of Borrowers and to
Servicers & Lenders/Investors
(Cap) *
Pricing
Mechanism
Note
Adjustment
Date
CAP Adjustment Amount
Adjusted CAP
Reason for Adjustment
10/16/2012
$
1,270,000
$
2,179,984 Transfer of cap due to servicing transfer
11/15/2012
$
230,000
$
2,409,984 Transfer of cap due to servicing transfer
12/27/2012
$
(5)
$
2,409,979 Updated due to quarterly assessment and reallocation
01/16/2013
$
990,000
$
3,399,979 Transfer of cap due to servicing transfer
02/14/2013
$
600,000
$
3,999,979 Transfer of cap due to servicing transfer
03/14/2013
$
1,980,000
$
5,979,979 Transfer of cap due to servicing transfer
03/25/2013
$
(77)
$
5,979,902 Updated due to quarterly assessment and reallocation
04/16/2013
$
340,000
$
6,319,902 Transfer of cap due to servicing transfer
05/16/2013
$
1,520,000
$
7,839,902 Transfer of cap due to servicing transfer
06/14/2013
$
2,740,000
$
10,579,902 Transfer of cap due to servicing transfer
06/27/2013
$
(53)
$
10,579,849 Updated due to quarterly assessment and reallocation
09/16/2013
$
2,570,000
$
13,149,849 Transfer of cap due to servicing transfer
09/27/2013
$
(26)
$
13,149,823 Updated due to quarterly assessment and reallocation
10/15/2013
$
10,000
$
13,159,823 Transfer of cap due to servicing transfer
11/14/2013
$
19,140,000
$
32,299,823 Transfer of cap due to servicing transfer
12/16/2013
$
1,330,000
$
33,629,823 Transfer of cap due to servicing transfer
12/23/2013
$
(60,644)
$
33,569,179 Updated due to quarterly assessment and reallocation
01/16/2014
$
10,000
$
33,579,179 Transfer of cap due to servicing transfer
03/14/2014
$
50,000
$
33,629,179 Transfer of cap due to servicing transfer
03/26/2014
$
(2,090)
$
33,627,089 Updated due to quarterly assessment and reallocation
04/16/2014
$
4,440,000
$
38,067,089 Transfer of cap due to servicing transfer
05/15/2014
$
60,000
$
38,127,089 Transfer of cap due to servicing transfer
06/16/2014
$
380,000
$
38,507,089 Transfer of cap due to servicing transfer
06/26/2014
$
(35,305)
$
38,471,784 Updated due to quarterly assessment and reallocation
07/16/2014
$
270,000
$
38,741,784 Transfer of cap due to servicing transfer
07/29/2014
$
(69,974)
$
38,671,810 Updated due to quarterly assessment and reallocation
08/14/2014
$
4,040,000
$
42,711,810 Transfer of cap due to servicing transfer
09/16/2014
$
1,670,000
$
44,381,810 Transfer of cap due to servicing transfer
09/29/2014
$
(27,982)
$
44,353,828 Updated due to quarterly assessment and reallocation
10/16/2014
$
13,870,000
$
58,223,828 Transfer of cap due to servicing transfer
11/14/2014
$
8,350,000
$
66,573,828 Transfer of cap due to servicing transfer
12/16/2014
$
2,520,000
$
69,093,828 Transfer of cap due to servicing transfer
12/29/2014
$
(1,524,773)
$
67,569,055 Updated due to quarterly assessment and reallocation
01/15/2015
$
2,220,000
$
69,789,055 Transfer of cap due to servicing transfer
02/13/2015
$
980,000
$
70,769,055 Transfer of cap due to servicing transfer
03/16/2015
$
140,000
$
70,909,055 Transfer of cap due to servicing transfer
03/26/2015
$
(1,062,455)
$
69,846,600 Updated due to quarterly assessment and reallocation
04/16/2015
$
(2,050,000)
$
67,796,600 Transfer of cap due to servicing transfer
04/28/2015
$
(3,536,729)
$
64,259,871 Updated due to quarterly assessment and reallocation
05/14/2015
$
210,000
$
64,469,871 Transfer of cap due to servicing transfer
06/16/2015
$
8,540,000
$
73,009,871 Transfer of cap due to servicing transfer
06/25/2015
$
(1,665,379)
$
71,344,492 Updated due to quarterly assessment and reallocation
07/16/2015
$
2,050,000
$
73,394,492 Transfer of cap due to servicing transfer
08/14/2015
$
10,390,000
$
83,784,492 Transfer of cap due to servicing transfer
09/16/2015
$
5,300,000
$
89,084,492 Transfer of cap due to servicing transfer
09/28/2015
$
(3,202,247)
$
85,882,245 Updated due to quarterly assessment and reallocation
10/15/2015
$
(1,260,000)
$
84,622,245 Transfer of cap due to servicing transfer
11/16/2015
$
100,000
$
84,722,245 Transfer of cap due to servicing transfer
12/16/2015
$
350,000
$
85,072,245 Transfer of cap due to servicing transfer
12/28/2015
$
(2,075,474)
$
82,996,771 Updated due to quarterly assessment and reallocation
01/14/2016
$
250,000
$
83,246,771 Transfer of cap due to servicing transfer
02/16/2016
$
2,170,000
$
85,416,771 Transfer of cap due to servicing transfer
02/25/2016
$
(9,768,061)
$
75,648,710 Reallocation due to MHA program deobligation
03/16/2016
$
5,500,000
$
81,148,710 Transfer of cap due to servicing transfer
03/28/2016
$
(347,014)
$
80,801,696 Updated due to quarterly assessment and reallocation
04/14/2016
$
(1,040,000)
$
79,761,696 Transfer of cap due to servicing transfer
05/16/2016
$
(1,740,000)
$
78,021,696 Transfer of cap due to servicing transfer
05/31/2016
$
(2,271,991)
$
75,749,705 Updated due to quarterly assessment and reallocation
06/16/2016
$
5,480,000
$
81,229,705 Transfer of cap due to servicing transfer
06/27/2016
$
(1,805,648)
$
79,424,057 Updated due to quarterly assessment and reallocation
07/14/2016
$
1,700,000
$
81,124,057 Transfer of cap due to servicing transfer
07/27/2016
$
(2,019,779)
$
79,104,278 Updated due to quarterly assessment and reallocation
08/16/2016
$
(1,500,000)
$
77,604,278 Transfer of cap due to servicing transfer
09/15/2016
$
(1,630,000)
$
75,974,278 Transfer of cap due to servicing transfer
09/28/2016
$
(2,318,267)
$
73,656,011 Updated due to quarterly assessment and reallocation
10/14/2016
$
1,170,000
$
74,826,011 Transfer of cap due to servicing transfer
10/25/2016
$
(2,719,687)
$
72,106,324 Updated due to quarterly assessment and reallocation
11/07/2016
$
1,048,535
$
73,154,859 Updated due to quarterly assessment and reallocation
11/16/2016
$
1,640,000
$
74,794,859 Transfer of cap due to servicing transfer
133
Servicer Modifying Borrowers' Loans
Date
Name of Institution
07/14/2016 Santander Bank, N.A.
04/13/2009 Saxon Mortgage Services, Inc.
City
Reading
Irving
Adjustment Details
State
PA
TX
Transaction
Type
Purchase
Purchase
Investment Description
Cap of Incentive Payments on
Behalf of Borrowers and to
Servicers & Lenders/Investors
(Cap) *
Financial Instrument for Home Loan Modifications
Financial Instrument for Home Loan Modifications
Pricing
Mechanism
- N/A
$
Note
3
407,000,000 N/A
10
09/23/2009 Schools Financial Credit Union
Sacramento
CA
Purchase
Financial Instrument for Home Loan Modifications
$
390,000 N/A
Adjustment
Date
CAP Adjustment Amount
Adjusted CAP
Reason for Adjustment
11/29/2016
$
(62,040)
$
74,732,819 Updated due to quarterly assessment and reallocation
12/15/2016
$
750,000
$
75,482,819 Transfer of cap due to servicing transfer
12/27/2016
$
(10,694)
$
75,472,125 Transfer of cap due to servicing transfer
01/13/2017
$
1,330,000
$
76,802,125 Transfer of cap due to servicing transfer
02/16/2017
$
1,750,000
$
78,552,125 Transfer of cap due to servicing transfer
02/27/2017
$
(228,329)
$
78,323,796 Transfer of cap due to servicing transfer
03/16/2017
$
1,050,000
$
79,373,796 Transfer of cap due to servicing transfer
04/26/2017
$
(16,335)
$
79,357,461 Transfer of cap due to servicing transfer
06/26/2017
$
(124,608)
$
79,232,853 Transfer of cap due to servicing transfer
07/26/2017
$
(3,836)
$
79,229,017 Updated due to quarterly assessment and reallocation
09/26/2017
$
(618,292)
$
78,610,725 Transfer of cap due to servicing transfer
10/26/2017
$
(66,661)
$
78,544,064 Transfer of cap due to servicing transfer
12/21/2017
$
(350,288)
$
78,193,776 Transfer of cap due to servicing transfer
07/14/2016
$
20,000
$
20,000 Transfer of cap due to servicing transfer
03/16/2017
$
90,000
$
110,000 Transfer of cap due to servicing transfer
04/26/2017
$
(14)
$
109,986 Transfer of cap due to servicing transfer
06/26/2017
$
5,264
$
09/26/2017
$
6,780
$
06/17/2009
$
225,040,000
$
09/30/2009
$
254,380,000
$
886,420,000 Updated portfolio data from servicer/additional program initial cap
12/30/2009
$
355,710,000
$
1,242,130,000 Updated portfolio data from servicer/additional program initial cap
03/26/2010
$
(57,720,000)
$
1,184,410,000 Updated portfolio data from servicer
06/16/2010
$
(156,050,000)
$
1,028,360,000 Transfer of cap due to servicing transfer
07/14/2010
$
(513,660,000)
$
514,700,000 Updated portfolio data from servicer
07/16/2010
$
(22,980,000)
$
491,720,000 Transfer of cap due to servicing transfer
09/15/2010
$
1,800,000
$
493,520,000 Transfer of cap due to servicing transfer
09/30/2010
$
9,800,000
$
503,320,000 Updated portfolio data from servicer/additional program initial cap
09/30/2010
$
116,222,668
$
619,542,668 Updated portfolio data from servicer
10/15/2010
$
100,000
$
619,642,668 Transfer of cap due to servicing transfer
12/15/2010
$
8,900,000
$
628,542,668 Transfer of cap due to servicing transfer
01/06/2011
$
(556)
$
628,542,112 Updated due to quarterly assessment and reallocation
01/13/2011
$
2,300,000
$
630,842,112 Transfer of cap due to servicing transfer
03/16/2011
$
700,000
$
631,542,112 Transfer of cap due to servicing transfer
03/30/2011
$
(654)
$
631,541,458 Updated due to quarterly assessment and reallocation
04/13/2011
$
2,100,000
$
633,641,458 Transfer of cap due to servicing transfer
06/29/2011
$
(6,144)
$
633,635,314 Updated due to quarterly assessment and reallocation
07/14/2011
$
200,000
$
633,835,314 Transfer of cap due to servicing transfer
08/16/2011
$
(100,000)
$
633,735,314 Transfer of cap due to servicing transfer
09/15/2011
$
(700,000)
$
633,035,314 Transfer of cap due to servicing transfer
12/15/2011
$
17,500,000
$
650,535,314 Transfer of cap due to servicing transfer
02/16/2012
$
(100,000)
$
650,435,314 Transfer of cap due to servicing transfer
03/15/2012
$
100,000
$
650,535,314 Transfer of cap due to servicing transfer
04/16/2012
$
(17,500,000)
$
633,035,314 Transfer of cap due to servicing transfer
05/16/2012
$
(760,000)
$
632,275,314 Transfer of cap due to servicing transfer
06/14/2012
$
(354,290,000)
$
277,985,314 Transfer of cap due to servicing transfer
06/28/2012
$
(1,831)
$
277,983,483 Updated due to quarterly assessment and reallocation
07/16/2012
$
(10,120,000)
$
267,863,483 Transfer of cap due to servicing transfer
08/16/2012
$
(10,000)
$
267,853,483 Transfer of cap due to servicing transfer
09/27/2012
$
(4,701)
$
267,848,782 Updated due to quarterly assessment and reallocation
10/16/2012
$
(9,220,000)
$
258,628,782 Transfer of cap due to servicing transfer
11/15/2012
$
(30,000)
$
258,598,782 Transfer of cap due to servicing transfer
12/14/2012
$
60,000
$
258,658,782 Transfer of cap due to servicing transfer
12/27/2012
$
(788)
$
258,657,994 Updated due to quarterly assessment and reallocation
01/16/2013
$
(610,000)
$
258,047,994 Transfer of cap due to servicing transfer
03/25/2013
$
(2,979)
$
258,045,015 Updated due to quarterly assessment and reallocation
04/09/2013
$
(157,237,929)
$
100,807,086 Termination of SPA
10/02/2009
$
90,000
$
480,000 Updated portfolio data from servicer/additional program initial cap
12/30/2009
$
940,000
$
1,420,000 Updated portfolio data from servicer/additional program initial cap
03/26/2010
$
(980,000)
$
07/14/2010
$
(140,000)
$
300,000 Updated portfolio data from servicer
09/30/2010
$
1,150,556
$
1,450,556 Updated portfolio data from servicer
01/06/2011
$
(2)
$
1,450,554 Updated due to quarterly assessment and reallocation
03/30/2011
$
(2)
$
1,450,552 Updated due to quarterly assessment and reallocation
06/29/2011
$
(22)
$
1,450,530 Updated due to quarterly assessment and reallocation
06/28/2012
$
(16)
$
1,450,514 Updated due to quarterly assessment and reallocation
09/27/2012
$
(44)
$
1,450,470 Updated due to quarterly assessment and reallocation
12/27/2012
$
(7)
$
1,450,463 Updated due to quarterly assessment and reallocation
03/25/2013
$
(28)
$
1,450,435 Updated due to quarterly assessment and reallocation
06/27/2013
$
(11)
$
1,450,424 Updated due to quarterly assessment and reallocation
115,250 Transfer of cap due to servicing transfer
122,030 Transfer of cap due to servicing transfer
632,040,000 Updated portfolio data from servicer
440,000 Updated portfolio data from servicer
134
Servicer Modifying Borrowers' Loans
Date
Name of Institution
12/15/2010 Scotiabank de Puerto Rico
09/25/2009 SEFCU
City
San Juan
Albany
Adjustment Details
State
PR
NY
Transaction
Type
Purchase
Purchase
Investment Description
Cap of Incentive Payments on
Behalf of Borrowers and to
Servicers & Lenders/Investors
(Cap) *
Financial Instrument for Home Loan Modifications
Financial Instrument for Home Loan Modifications
Pricing
Mechanism
- N/A
$
440,000 N/A
Note
3
Adjustment
Date
CAP Adjustment Amount
Adjusted CAP
Reason for Adjustment
09/27/2013
$
(4)
$
1,450,420 Updated due to quarterly assessment and reallocation
12/23/2013
$
(6,411)
$
1,444,009 Updated due to quarterly assessment and reallocation
03/26/2014
$
(225)
$
1,443,784 Updated due to quarterly assessment and reallocation
06/26/2014
$
(2,661)
$
1,441,123 Updated due to quarterly assessment and reallocation
07/29/2014
$
(5,285)
$
1,435,838 Updated due to quarterly assessment and reallocation
09/29/2014
$
(1,746)
$
1,434,092 Updated due to quarterly assessment and reallocation
12/29/2014
$
(201,817)
$
1,232,275 Updated due to quarterly assessment and reallocation
03/26/2015
$
(76,420)
$
1,155,855 Updated due to quarterly assessment and reallocation
04/28/2015
$
(301,210)
$
854,645 Updated due to quarterly assessment and reallocation
06/25/2015
$
(71,460)
$
783,185 Updated due to quarterly assessment and reallocation
09/28/2015
$
(95,514)
$
687,671 Updated due to quarterly assessment and reallocation
12/28/2015
$
(70,705)
$
616,966 Updated due to quarterly assessment and reallocation
02/25/2016
$
(210,262)
$
406,704 Reallocation due to MHA program deobligation
03/28/2016
$
(4,392)
$
402,312 Updated due to quarterly assessment and reallocation
05/31/2016
$
(35,674)
$
366,638 Updated due to quarterly assessment and reallocation
06/27/2016
$
(21,311)
$
345,327 Updated due to quarterly assessment and reallocation
07/27/2016
$
(21,317)
$
324,010 Updated due to quarterly assessment and reallocation
09/28/2016
$
(37,281)
$
286,729 Updated due to quarterly assessment and reallocation
10/25/2016
$
(35,228)
$
251,501 Updated due to quarterly assessment and reallocation
11/07/2016
$
13,582
$
265,083 Updated due to quarterly assessment and reallocation
11/29/2016
$
(344)
$
264,739 Updated due to quarterly assessment and reallocation
12/27/2016
$
(52)
$
264,687 Transfer of cap due to servicing transfer
02/27/2017
$
(910)
$
263,777 Transfer of cap due to servicing transfer
04/26/2017
$
(60)
$
263,717 Transfer of cap due to servicing transfer
06/26/2017
$
(459)
$
263,258 Transfer of cap due to servicing transfer
07/26/2017
$
(14)
$
263,244 Updated due to quarterly assessment and reallocation
09/26/2017
$
(12,751)
$
250,493 Transfer of cap due to servicing transfer
10/26/2017
$
(1,581)
$
12/21/2017
$
(1,647)
$
247,265 Transfer of cap due to servicing transfer
12/15/2010
$
4,300,000
$
4,300,000 Transfer of cap due to servicing transfer
01/06/2011
$
(4)
$
4,299,996 Updated due to quarterly assessment and reallocation
06/29/2011
$
(5)
$
4,299,991 Updated due to quarterly assessment and reallocation
06/28/2012
$
(23)
$
4,299,968 Updated due to quarterly assessment and reallocation
09/27/2012
$
(63)
$
4,299,905 Updated due to quarterly assessment and reallocation
12/27/2012
$
(11)
$
4,299,894 Updated due to quarterly assessment and reallocation
03/25/2013
$
(41)
$
4,299,853 Updated due to quarterly assessment and reallocation
06/27/2013
$
(16)
$
4,299,837 Updated due to quarterly assessment and reallocation
09/27/2013
$
(6)
$
4,299,831 Updated due to quarterly assessment and reallocation
12/23/2013
$
(9,679)
$
4,290,152 Updated due to quarterly assessment and reallocation
03/26/2014
$
(344)
$
4,289,808 Updated due to quarterly assessment and reallocation
06/26/2014
$
(4,087)
$
4,285,721 Updated due to quarterly assessment and reallocation
07/29/2014
$
(8,126)
$
4,277,595 Updated due to quarterly assessment and reallocation
09/29/2014
$
(2,690)
$
4,274,905 Updated due to quarterly assessment and reallocation
10/16/2014
$
30,000
$
4,304,905 Transfer of cap due to servicing transfer
12/29/2014
$
(163,461)
$
4,141,444 Updated due to quarterly assessment and reallocation
03/26/2015
$
(65,464)
$
4,075,980 Updated due to quarterly assessment and reallocation
04/28/2015
$
(260,119)
$
3,815,861 Updated due to quarterly assessment and reallocation
06/25/2015
$
(63,179)
$
3,752,682 Updated due to quarterly assessment and reallocation
09/28/2015
$
(87,785)
$
3,664,897 Updated due to quarterly assessment and reallocation
12/28/2015
$
(65,988)
$
3,598,909 Updated due to quarterly assessment and reallocation
02/25/2016
$
(298,593)
$
3,300,316 Reallocation due to MHA program deobligation
03/28/2016
$
(6,237)
$
3,294,079 Updated due to quarterly assessment and reallocation
05/31/2016
$
(48,817)
$
3,245,262 Updated due to quarterly assessment and reallocation
06/27/2016
$
(29,163)
$
3,216,099 Updated due to quarterly assessment and reallocation
07/27/2016
$
(29,171)
$
3,186,928 Updated due to quarterly assessment and reallocation
09/28/2016
$
(51,016)
$
3,135,912 Updated due to quarterly assessment and reallocation
10/25/2016
$
(48,207)
$
3,087,705 Updated due to quarterly assessment and reallocation
11/07/2016
$
18,586
$
3,106,291 Updated due to quarterly assessment and reallocation
11/29/2016
$
(1,644)
$
3,104,647 Updated due to quarterly assessment and reallocation
12/27/2016
$
(251)
$
3,104,396 Transfer of cap due to servicing transfer
02/27/2017
$
(4,356)
$
3,100,040 Transfer of cap due to servicing transfer
04/26/2017
$
(285)
$
3,099,755 Transfer of cap due to servicing transfer
06/26/2017
$
(2,195)
$
3,097,560 Transfer of cap due to servicing transfer
07/26/2017
$
(66)
$
3,097,494 Updated due to quarterly assessment and reallocation
09/26/2017
$
(14,761)
$
3,082,733 Transfer of cap due to servicing transfer
10/26/2017
$
(1,831)
$
3,080,902 Transfer of cap due to servicing transfer
12/21/2017
$
(1,907)
$
3,078,995 Transfer of cap due to servicing transfer
10/02/2009
$
100,000
$
540,000 Updated portfolio data from servicer/additional program initial cap
12/30/2009
$
20,000
$
560,000 Updated portfolio data from servicer/additional program initial cap
248,912 Transfer of cap due to servicing transfer
135
Servicer Modifying Borrowers' Loans
Date
Name of Institution
04/13/2009 Select Portfolio Servicing, Inc.
City
Salt Lake City
Adjustment Details
State
UT
Transaction
Type
Purchase
Investment Description
Financial Instrument for Home Loan Modifications
Cap of Incentive Payments on
Behalf of Borrowers and to
Servicers & Lenders/Investors
(Cap) *
$
Pricing
Mechanism
376,000,000 N/A
Note
Adjustment
Date
CAP Adjustment Amount
Adjusted CAP
Reason for Adjustment
03/26/2010
$
(290,000)
$
270,000 Updated portfolio data from servicer
07/14/2010
$
(70,000)
$
200,000 Updated portfolio data from servicer
09/30/2010
$
(54,944)
$
145,056 Updated portfolio data from servicer
06/29/2011
$
(1)
$
04/11/2012
$
(145,055)
06/12/2009
$
284,590,000
$
660,590,000 Updated portfolio data from servicer
09/30/2009
$
121,910,000
$
782,500,000 Updated portfolio data from servicer/additional program initial cap
145,055 Updated due to quarterly assessment and reallocation
- Termination of SPA
12/30/2009
$
131,340,000
$
913,840,000 Updated portfolio data from servicer/additional program initial cap
03/26/2010
$
(355,530,000)
$
558,310,000 Updated portfolio data from servicer
07/14/2010
$
128,690,000
$
687,000,000 Updated portfolio data from servicer
09/30/2010
$
4,000,000
$
691,000,000 Updated portfolio data from servicer/additional program initial cap
09/30/2010
$
59,807,784
$
750,807,784 Updated portfolio data from servicer
11/16/2010
$
(700,000)
$
750,107,784 Transfer of cap due to servicing transfer
12/15/2010
$
64,400,000
$
814,507,784 Transfer of cap due to servicing transfer
01/06/2011
$
(639)
$
814,507,145 Updated due to quarterly assessment and reallocation
01/13/2011
$
(2,300,000)
$
812,207,145 Transfer of cap due to servicing transfer
02/16/2011
$
100,000
$
812,307,145 Transfer of cap due to servicing transfer
03/16/2011
$
3,600,000
$
815,907,145 Transfer of cap due to servicing transfer
03/30/2011
$
(735)
$
815,906,410 Updated due to quarterly assessment and reallocation
04/13/2011
$
(100,000)
$
815,806,410 Transfer of cap due to servicing transfer
05/13/2011
$
400,000
$
816,206,410 Transfer of cap due to servicing transfer
06/16/2011
$
(100,000)
$
816,106,410 Transfer of cap due to servicing transfer
06/29/2011
$
(6,805)
$
816,099,605 Updated due to quarterly assessment and reallocation
08/16/2011
$
(100,000)
$
815,999,605 Transfer of cap due to servicing transfer
09/15/2011
$
(200,000)
$
815,799,605 Transfer of cap due to servicing transfer
10/14/2011
$
(100,000)
$
815,699,605 Transfer of cap due to servicing transfer
11/16/2011
$
(100,000)
$
815,599,605 Transfer of cap due to servicing transfer
01/13/2012
$
200,000
$
815,799,605 Transfer of cap due to servicing transfer
03/15/2012
$
24,800,000
$
840,599,605 Transfer of cap due to servicing transfer
04/16/2012
$
1,900,000
$
842,499,605 Transfer of cap due to servicing transfer
05/16/2012
$
80,000
$
842,579,605 Transfer of cap due to servicing transfer
06/14/2012
$
8,710,000
$
851,289,605 Transfer of cap due to servicing transfer
06/28/2012
$
(5,176)
$
851,284,429 Updated due to quarterly assessment and reallocation
07/16/2012
$
2,430,000
$
853,714,429 Transfer of cap due to servicing transfer
08/16/2012
$
2,310,000
$
856,024,429 Transfer of cap due to servicing transfer
09/27/2012
$
(13,961)
$
856,010,468 Updated due to quarterly assessment and reallocation
10/16/2012
$
126,940,000
$
982,950,468 Transfer of cap due to servicing transfer
11/15/2012
$
9,990,000
$
992,940,468 Transfer of cap due to servicing transfer
12/14/2012
$
10,650,000
$
1,003,590,468 Transfer of cap due to servicing transfer
12/27/2012
$
(2,663)
$
1,003,587,805 Updated due to quarterly assessment and reallocation
01/16/2013
$
18,650,000
$
1,022,237,805 Transfer of cap due to servicing transfer
02/14/2013
$
10,290,000
$
1,032,527,805 Transfer of cap due to servicing transfer
03/14/2013
$
4,320,000
$
1,036,847,805 Transfer of cap due to servicing transfer
03/25/2013
$
(10,116)
$
1,036,837,689 Updated due to quarterly assessment and reallocation
04/16/2013
$
840,000
$
1,037,677,689 Transfer of cap due to servicing transfer
05/16/2013
$
1,330,000
$
1,039,007,689 Transfer of cap due to servicing transfer
06/14/2013
$
3,620,000
$
1,042,627,689 Transfer of cap due to servicing transfer
06/27/2013
$
(3,564)
$
1,042,624,125 Updated due to quarterly assessment and reallocation
07/16/2013
$
105,080,000
$
1,147,704,125 Transfer of cap due to servicing transfer
08/15/2013
$
10,000
$
1,147,714,125 Transfer of cap due to servicing transfer
09/16/2013
$
98,610,000
$
1,246,324,125 Transfer of cap due to servicing transfer
09/27/2013
$
(1,541)
$
1,246,322,584 Updated due to quarterly assessment and reallocation
10/15/2013
$
1,280,000
$
1,247,602,584 Transfer of cap due to servicing transfer
11/14/2013
$
15,130,000
$
1,262,732,584 Transfer of cap due to servicing transfer
12/16/2013
$
6,290,000
$
1,269,022,584 Transfer of cap due to servicing transfer
12/23/2013
$
(2,481,777)
$
1,266,540,807 Updated due to quarterly assessment and reallocation
01/16/2014
$
1,580,000
$
1,268,120,807 Transfer of cap due to servicing transfer
02/13/2014
$
75,350,000
$
1,343,470,807 Transfer of cap due to servicing transfer
03/14/2014
$
16,900,000
$
1,360,370,807 Transfer of cap due to servicing transfer
03/26/2014
$
(85,696)
$
1,360,285,111 Updated due to quarterly assessment and reallocation
04/16/2014
$
12,470,000
$
1,372,755,111 Transfer of cap due to servicing transfer
05/15/2014
$
20,960,000
$
1,393,715,111 Transfer of cap due to servicing transfer
06/16/2014
$
14,220,000
$
1,407,935,111 Transfer of cap due to servicing transfer
06/26/2014
$
(1,023,387)
$
1,406,911,724 Updated due to quarterly assessment and reallocation
07/16/2014
$
12,690,000
$
1,419,601,724 Transfer of cap due to servicing transfer
07/29/2014
$
(1,968,183)
$
1,417,633,541 Updated due to quarterly assessment and reallocation
08/14/2014
$
(42,210,000)
$
1,375,423,541 Transfer of cap due to servicing transfer
09/16/2014
$
7,420,000
$
1,382,843,541 Transfer of cap due to servicing transfer
09/29/2014
$
(540,365)
$
1,382,303,176 Updated due to quarterly assessment and reallocation
136
Servicer Modifying Borrowers' Loans
Date
Name of Institution
City
Adjustment Details
State
Transaction
Type
Investment Description
Cap of Incentive Payments on
Behalf of Borrowers and to
Servicers & Lenders/Investors
(Cap) *
Pricing
Mechanism
Note
Adjustment
Date
CAP Adjustment Amount
Houston
TX
Purchase
Financial Instrument for Home Loan Modifications
- N/A
3
Reason for Adjustment
10/16/2014
$
57,410,000
$
1,439,713,176 Transfer of cap due to servicing transfer
11/14/2014
$
1,490,000
$
1,441,203,176 Transfer of cap due to servicing transfer
12/16/2014
$
3,740,000
$
1,444,943,176 Transfer of cap due to servicing transfer
12/29/2014
$
6,991,378
$
1,451,934,554 Updated due to quarterly assessment and reallocation
01/15/2015
$
10,630,000
$
1,462,564,554 Transfer of cap due to servicing transfer
02/13/2015
$
4,120,000
$
1,466,684,554 Transfer of cap due to servicing transfer
03/16/2015
$
(900,000)
$
1,465,784,554 Transfer of cap due to servicing transfer
03/26/2015
$
71,365,159
$
1,537,149,713 Updated due to quarterly assessment and reallocation
04/16/2015
$
710,000
$
1,537,859,713 Transfer of cap due to servicing transfer
04/28/2015
$
36,897,540
$
1,574,757,253 Updated due to quarterly assessment and reallocation
05/14/2015
$
3,890,000
$
1,578,647,253 Transfer of cap due to servicing transfer
06/16/2015
$
34,620,000
$
1,613,267,253 Transfer of cap due to servicing transfer
06/25/2015
$
41,497,746
$
1,654,764,999 Updated due to quarterly assessment and reallocation
07/16/2015
$
(16,430,000)
$
1,638,334,999 Transfer of cap due to servicing transfer
08/14/2015
$
3,520,000
$
1,641,854,999 Transfer of cap due to servicing transfer
09/16/2015
$
10,280,000
$
1,652,134,999 Transfer of cap due to servicing transfer
09/28/2015
$
87,496,640
$
1,739,631,639 Updated due to quarterly assessment and reallocation
10/15/2015
$
(16,640,000)
$
1,722,991,639 Transfer of cap due to servicing transfer
11/16/2015
$
(260,000)
$
1,722,731,639 Transfer of cap due to servicing transfer
12/16/2015
$
45,960,000
$
1,768,691,639 Transfer of cap due to servicing transfer
12/28/2015
$
43,906,188
$
1,812,597,827 Updated due to quarterly assessment and reallocation
01/14/2016
$
24,710,000
$
1,837,307,827 Transfer of cap due to servicing transfer
02/16/2016
$
2,670,000
$
1,839,977,827 Transfer of cap due to servicing transfer
02/25/2016
$
(47,775,866)
$
1,792,201,961 Reallocation due to MHA program deobligation
03/16/2016
$
(1,310,000)
$
1,790,891,961 Transfer of cap due to servicing transfer
03/28/2016
$
(194,564)
$
1,790,697,397 Updated due to quarterly assessment and reallocation
04/14/2016
$
940,000
$
1,791,637,397 Transfer of cap due to servicing transfer
05/16/2016
$
10,880,000
$
1,802,517,397 Transfer of cap due to servicing transfer
05/31/2016
$
119,002,590
$
1,921,519,987 Updated due to quarterly assessment and reallocation
06/16/2016
$
38,730,000
$
1,960,249,987 Transfer of cap due to servicing transfer
06/27/2016
$
19,191,131
$
1,979,441,118 Updated due to quarterly assessment and reallocation
07/14/2016
$
(2,280,000)
$
1,977,161,118 Transfer of cap due to servicing transfer
07/27/2016
$
(1,954,173)
$
1,975,206,945 Updated due to quarterly assessment and reallocation
08/16/2016
$
26,510,000
$
2,001,716,945 Transfer of cap due to servicing transfer
09/15/2016
$
16,540,000
$
2,018,256,945 Transfer of cap due to servicing transfer
09/28/2016
$
36,150,560
$
2,054,407,505 Updated due to quarterly assessment and reallocation
10/14/2016
$
10,060,000
$
2,064,467,505 Transfer of cap due to servicing transfer
10/25/2016
$
14,764,710
$
2,079,232,215 Updated due to quarterly assessment and reallocation
-
$
2,079,232,215 Updated due to quarterly assessment and reallocation
11/07/2016
06/16/2010 Selene Finance LP
Adjusted CAP
11/16/2016
$
5,070,000
$
2,084,302,215 Transfer of cap due to servicing transfer
11/29/2016
$
(915,311)
$
2,083,386,904 Updated due to quarterly assessment and reallocation
12/15/2016
$
1,450,000
$
2,084,836,904 Transfer of cap due to servicing transfer
12/27/2016
$
(117,550)
$
2,084,719,354 Transfer of cap due to servicing transfer
01/13/2017
$
30,000
$
2,084,749,354 Transfer of cap due to servicing transfer
02/16/2017
$
(41,410,000)
$
2,043,339,354 Transfer of cap due to servicing transfer
02/27/2017
$
(1,240,072)
$
2,042,099,282 Transfer of cap due to servicing transfer
03/16/2017
$
16,530,000
$
2,058,629,282 Transfer of cap due to servicing transfer
04/26/2017
$
(21,961)
$
2,058,607,321 Transfer of cap due to servicing transfer
06/26/2017
$
(167,546)
$
2,058,439,775 Transfer of cap due to servicing transfer
07/26/2017
$
(4,732)
$
2,058,435,043 Updated due to quarterly assessment and reallocation
09/26/2017
$
119,748,540
$
2,178,183,583 Transfer of cap due to servicing transfer
10/26/2017
$
9,740,790
$
2,187,924,373 Transfer of cap due to servicing transfer
12/21/2017
$
(1,737,797)
$
2,186,186,576 Transfer of cap due to servicing transfer
06/16/2010
$
3,680,000
$
3,680,000 Transfer of cap due to servicing transfer
08/13/2010
$
3,300,000
$
09/30/2010
$
3,043,831
$
10,023,831 Updated portfolio data from servicer
10/15/2010
$
6,980,000 Transfer of cap due to servicing transfer
1,400,000
$
11,423,831 Transfer of cap due to servicing transfer
01/06/2011
$
(17)
$
11,423,814 Updated due to quarterly assessment and reallocation
03/16/2011
$
2,100,000
$
13,523,814 Transfer of cap due to servicing transfer
03/30/2011
$
(24)
$
13,523,790 Updated due to quarterly assessment and reallocation
04/13/2011
$
2,900,000
$
16,423,790 Transfer of cap due to servicing transfer
06/16/2011
$
(200,000)
$
16,223,790 Transfer of cap due to servicing transfer
06/29/2011
$
(273)
$
16,223,517 Updated due to quarterly assessment and reallocation
10/14/2011
$
100,000
$
16,323,517 Transfer of cap due to servicing transfer
11/16/2011
$
1,100,000
$
17,423,517 Transfer of cap due to servicing transfer
04/16/2012
$
200,000
$
17,623,517 Transfer of cap due to servicing transfer
05/16/2012
$
10,000
$
17,633,517 Transfer of cap due to servicing transfer
06/14/2012
$
(300,000)
$
17,333,517 Transfer of cap due to servicing transfer
06/28/2012
$
(218)
$
17,333,299 Updated due to quarterly assessment and reallocation
137
Servicer Modifying Borrowers' Loans
Date
Name of Institution
City
Adjustment Details
State
Transaction
Type
Investment Description
Cap of Incentive Payments on
Behalf of Borrowers and to
Servicers & Lenders/Investors
(Cap) *
Pricing
Mechanism
Note
Adjustment
Date
CAP Adjustment Amount
Adjusted CAP
Reason for Adjustment
07/16/2012
$
40,000
$
17,373,299 Transfer of cap due to servicing transfer
08/16/2012
$
480,000
$
17,853,299 Transfer of cap due to servicing transfer
09/27/2012
$
(600)
$
17,852,699 Updated due to quarterly assessment and reallocation
11/15/2012
$
70,000
$
17,922,699 Transfer of cap due to servicing transfer
12/27/2012
$
(102)
$
17,922,597 Updated due to quarterly assessment and reallocation
03/14/2013
$
90,000
$
18,012,597 Transfer of cap due to servicing transfer
03/25/2013
$
(384)
$
18,012,213 Updated due to quarterly assessment and reallocation
05/16/2013
$
(30,000)
$
17,982,213 Transfer of cap due to servicing transfer
06/27/2013
$
(146)
$
17,982,067 Updated due to quarterly assessment and reallocation
07/16/2013
$
170,000
$
18,152,067 Transfer of cap due to servicing transfer
09/27/2013
$
(52)
$
18,152,015 Updated due to quarterly assessment and reallocation
12/23/2013
$
(88,613)
$
18,063,402 Updated due to quarterly assessment and reallocation
03/14/2014
$
10,000
$
18,073,402 Transfer of cap due to servicing transfer
03/26/2014
$
(3,125)
$
18,070,277 Updated due to quarterly assessment and reallocation
04/16/2014
$
30,000
$
18,100,277 Transfer of cap due to servicing transfer
06/26/2014
$
(36,971)
$
18,063,306 Updated due to quarterly assessment and reallocation
07/16/2014
$
23,490,000
$
41,553,306 Transfer of cap due to servicing transfer
07/29/2014
$
(142,594)
$
41,410,712 Updated due to quarterly assessment and reallocation
08/14/2014
$
2,480,000
$
43,890,712 Transfer of cap due to servicing transfer
09/16/2014
$
11,650,000
$
55,540,712 Transfer of cap due to servicing transfer
09/29/2014
$
(52,910)
$
55,487,802 Updated due to quarterly assessment and reallocation
12/16/2014
$
30,000
$
55,517,802 Transfer of cap due to servicing transfer
12/29/2014
$
(4,478,535)
$
51,039,267 Updated due to quarterly assessment and reallocation
01/15/2015
$
10,000
$
51,049,267 Transfer of cap due to servicing transfer
03/16/2015
$
20,000
$
51,069,267 Transfer of cap due to servicing transfer
03/26/2015
$
(1,844,353)
$
49,224,914 Updated due to quarterly assessment and reallocation
04/16/2015
$
2,860,000
$
52,084,914 Transfer of cap due to servicing transfer
04/28/2015
$
(8,202,554)
$
43,882,360 Updated due to quarterly assessment and reallocation
06/16/2015
$
30,000
$
43,912,360 Transfer of cap due to servicing transfer
06/25/2015
$
(1,996,581)
$
41,915,779 Updated due to quarterly assessment and reallocation
08/14/2015
$
7,610,000
$
49,525,779 Transfer of cap due to servicing transfer
09/16/2015
$
370,000
$
49,895,779 Transfer of cap due to servicing transfer
09/28/2015
$
(4,239,474)
$
45,656,305 Updated due to quarterly assessment and reallocation
10/15/2015
$
3,760,000
$
49,416,305 Transfer of cap due to servicing transfer
11/16/2015
$
1,150,000
$
50,566,305 Transfer of cap due to servicing transfer
12/16/2015
$
90,000
$
50,656,305 Transfer of cap due to servicing transfer
12/28/2015
$
(3,752,790)
$
46,903,515 Updated due to quarterly assessment and reallocation
01/14/2016
$
(10,000)
$
46,893,515 Transfer of cap due to servicing transfer
02/16/2016
$
1,250,000
$
48,143,515 Transfer of cap due to servicing transfer
02/25/2016
$
(11,934,020)
$
36,209,495 Reallocation due to MHA program deobligation
03/16/2016
$
(220,000)
$
35,989,495 Transfer of cap due to servicing transfer
03/28/2016
$
(226,478)
$
35,763,017 Updated due to quarterly assessment and reallocation
04/14/2016
$
(740,000)
$
35,023,017 Transfer of cap due to servicing transfer
05/16/2016
$
(220,000)
$
34,803,017 Transfer of cap due to servicing transfer
05/31/2016
$
(1,623,427)
$
33,179,590 Updated due to quarterly assessment and reallocation
06/16/2016
$
(80,000)
$
33,099,590 Transfer of cap due to servicing transfer
06/27/2016
$
(1,004,539)
$
32,095,051 Updated due to quarterly assessment and reallocation
07/14/2016
$
1,200,000
$
33,295,051 Transfer of cap due to servicing transfer
07/27/2016
$
(1,270,059)
$
32,024,992 Updated due to quarterly assessment and reallocation
08/16/2016
$
(30,000)
$
31,994,992 Transfer of cap due to servicing transfer
09/15/2016
$
290,000
$
32,284,992 Transfer of cap due to servicing transfer
09/28/2016
$
(2,103,641)
$
30,181,351 Updated due to quarterly assessment and reallocation
10/14/2016
$
230,000
$
30,411,351 Transfer of cap due to servicing transfer
10/25/2016
$
(2,233,487)
$
28,177,864 Updated due to quarterly assessment and reallocation
11/07/2016
$
861,088
$
29,038,952 Updated due to quarterly assessment and reallocation
11/16/2016
$
(1,100,000)
$
27,938,952 Transfer of cap due to servicing transfer
11/29/2016
$
(20,426)
$
27,918,526 Updated due to quarterly assessment and reallocation
12/15/2016
$
(120,000)
$
27,798,526 Transfer of cap due to servicing transfer
12/27/2016
$
(3,126)
$
27,795,400 Transfer of cap due to servicing transfer
01/13/2017
$
(360,000)
$
27,435,400 Transfer of cap due to servicing transfer
02/16/2017
$
1,090,000
$
28,525,400 Transfer of cap due to servicing transfer
02/27/2017
$
(66,009)
$
28,459,391 Transfer of cap due to servicing transfer
03/16/2017
$
(170,000)
$
28,289,391 Transfer of cap due to servicing transfer
04/26/2017
$
(2,159)
$
28,287,232 Transfer of cap due to servicing transfer
06/26/2017
$
(17,456)
$
28,269,776 Transfer of cap due to servicing transfer
07/26/2017
$
(582)
$
28,269,194 Updated due to quarterly assessment and reallocation
09/26/2017
$
(95,740)
$
28,173,454 Transfer of cap due to servicing transfer
10/26/2017
$
248,595
$
28,422,049 Transfer of cap due to servicing transfer
12/21/2017
$
(65,228)
$
28,356,821 Transfer of cap due to servicing transfer
138
Servicer Modifying Borrowers' Loans
Date
09/23/2009
Name of Institution
City
Seneca Mortgage Servicing LLC
Buffalo
(AMS Servicing, LLC)
Adjustment Details
State
NY
Transaction
Type
Purchase
Investment Description
Financial Instrument for Home Loan Modifications
Cap of Incentive Payments on
Pricing
Behalf of Borrowers and to
Mechanism
Servicers & Lenders/Investors
(Cap) *
$
4,390,000 N/A
Note
Adjustment
Date
CAP Adjustment Amount
Adjusted CAP
Reason for Adjustment
10/02/2009
$
960,000
$
5,350,000 Updated portfolio data from servicer/additional program initial cap
12/30/2009
$
(3,090,000)
$
2,260,000 Updated portfolio data from servicer/additional program initial cap
03/26/2010
$
230,000
$
2,490,000 Updated portfolio data from servicer
07/14/2010
$
5,310,000
$
7,800,000 Updated portfolio data from servicer
09/30/2010
$
323,114
$
8,123,114 Updated portfolio data from servicer
01/06/2011
$
(12)
$
8,123,102 Updated due to quarterly assessment and reallocation
03/16/2011
$
600,000
$
8,723,102 Transfer of cap due to servicing transfer
03/30/2011
$
(16)
$
8,723,086 Updated due to quarterly assessment and reallocation
04/13/2011
$
200,000
$
8,923,086 Transfer of cap due to servicing transfer
05/13/2011
$
100,000
$
9,023,086 Transfer of cap due to servicing transfer
06/29/2011
$
(153)
$
9,022,933 Updated due to quarterly assessment and reallocation
09/15/2011
$
100,000
$
9,122,933 Transfer of cap due to servicing transfer
11/16/2011
$
100,000
$
9,222,933 Transfer of cap due to servicing transfer
04/16/2012
$
1,100,000
$
10,322,933 Transfer of cap due to servicing transfer
06/14/2012
$
650,000
$
10,972,933 Transfer of cap due to servicing transfer
06/28/2012
$
(136)
$
10,972,797 Updated due to quarterly assessment and reallocation
09/27/2012
$
(347)
$
10,972,450 Updated due to quarterly assessment and reallocation
10/16/2012
$
250,000
$
11,222,450 Transfer of cap due to servicing transfer
11/15/2012
$
30,000
$
11,252,450 Transfer of cap due to servicing transfer
12/14/2012
$
(10,000)
$
11,242,450 Transfer of cap due to servicing transfer
12/27/2012
$
(59)
$
11,242,391 Updated due to quarterly assessment and reallocation
01/16/2013
$
20,000
$
11,262,391 Transfer of cap due to servicing transfer
02/14/2013
$
290,000
$
11,552,391 Transfer of cap due to servicing transfer
03/14/2013
$
10,000
$
11,562,391 Transfer of cap due to servicing transfer
03/25/2013
$
(220)
$
11,562,171 Updated due to quarterly assessment and reallocation
04/16/2013
$
(60,000)
$
11,502,171 Transfer of cap due to servicing transfer
05/16/2013
$
50,000
$
11,552,171 Transfer of cap due to servicing transfer
06/14/2013
$
10,000
$
11,562,171 Transfer of cap due to servicing transfer
06/27/2013
$
(79)
$
11,562,092 Updated due to quarterly assessment and reallocation
07/16/2013
$
(90,000)
$
11,472,092 Transfer of cap due to servicing transfer
09/16/2013
$
310,000
$
11,782,092 Transfer of cap due to servicing transfer
09/27/2013
$
(28)
$
11,782,064 Updated due to quarterly assessment and reallocation
10/15/2013
$
230,000
$
12,012,064 Transfer of cap due to servicing transfer
11/14/2013
$
120,000
$
12,132,064 Transfer of cap due to servicing transfer
12/16/2013
$
460,000
$
12,592,064 Transfer of cap due to servicing transfer
12/23/2013
$
(49,413)
$
12,542,651 Updated due to quarterly assessment and reallocation
01/16/2014
$
40,000
$
12,582,651 Transfer of cap due to servicing transfer
03/14/2014
$
(260,000)
$
12,322,651 Transfer of cap due to servicing transfer
03/26/2014
$
(1,697)
$
12,320,954 Updated due to quarterly assessment and reallocation
04/16/2014
$
100,000
$
12,420,954 Transfer of cap due to servicing transfer
06/16/2014
$
30,000
$
12,450,954 Transfer of cap due to servicing transfer
06/26/2014
$
(20,009)
$
12,430,945 Updated due to quarterly assessment and reallocation
07/29/2014
$
(39,741)
$
12,391,204 Updated due to quarterly assessment and reallocation
08/14/2014
$
(40,000)
$
12,351,204 Transfer of cap due to servicing transfer
09/16/2014
$
70,000
$
12,421,204 Transfer of cap due to servicing transfer
09/29/2014
$
(13,236)
$
12,407,968 Updated due to quarterly assessment and reallocation
12/16/2014
$
(10,000)
$
12,397,968 Transfer of cap due to servicing transfer
12/29/2014
$
(1,446,220)
$
10,951,748 Updated due to quarterly assessment and reallocation
01/15/2015
$
(280,000)
$
10,671,748 Transfer of cap due to servicing transfer
02/13/2015
$
(70,000)
$
10,601,748 Transfer of cap due to servicing transfer
03/16/2015
$
(1,970,000)
$
8,631,748 Transfer of cap due to servicing transfer
03/26/2015
$
(563,340)
$
8,068,408 Updated due to quarterly assessment and reallocation
04/16/2015
$
(20,000)
$
8,048,408 Transfer of cap due to servicing transfer
04/28/2015
$
(1,823,241)
$
6,225,167 Updated due to quarterly assessment and reallocation
05/14/2015
$
160,000
$
6,385,167 Transfer of cap due to servicing transfer
06/16/2015
$
(60,000)
$
6,325,167 Transfer of cap due to servicing transfer
06/25/2015
$
(427,170)
$
5,897,997 Updated due to quarterly assessment and reallocation
07/16/2015
$
330,000
$
6,227,997 Transfer of cap due to servicing transfer
08/14/2015
$
80,000
$
6,307,997 Transfer of cap due to servicing transfer
09/16/2015
$
140,000
$
6,447,997 Transfer of cap due to servicing transfer
09/28/2015
$
(561,929)
$
5,886,068 Updated due to quarterly assessment and reallocation
10/15/2015
$
40,000
$
5,926,068 Transfer of cap due to servicing transfer
11/16/2015
$
580,000
$
6,506,068 Transfer of cap due to servicing transfer
12/16/2015
$
230,000
$
6,736,068 Transfer of cap due to servicing transfer
12/28/2015
$
(486,283)
$
6,249,785 Updated due to quarterly assessment and reallocation
01/14/2016
$
1,080,000
$
7,329,785 Transfer of cap due to servicing transfer
02/16/2016
$
500,000
$
7,829,785 Transfer of cap due to servicing transfer
02/25/2016
$
(2,321,321)
$
5,508,464 Reallocation due to MHA program deobligation
03/16/2016
$
330,000
$
5,838,464 Transfer of cap due to servicing transfer
139
Servicer Modifying Borrowers' Loans
Date
08/12/2009
Name of Institution
Servis One, Inc. dba BSI
Financial Services
City
Titusville
Adjustment Details
State
PA
Transaction
Type
Purchase
Investment Description
Financial Instrument for Home Loan Modifications
Cap of Incentive Payments on
Behalf of Borrowers and to
Servicers & Lenders/Investors
(Cap) *
$
Pricing
Mechanism
29,730,000 N/A
Note
Adjustment
Date
CAP Adjustment Amount
Adjusted CAP
Reason for Adjustment
03/28/2016
$
(54,203)
$
5,784,261 Updated due to quarterly assessment and reallocation
04/14/2016
$
840,000
$
6,624,261 Transfer of cap due to servicing transfer
05/16/2016
$
1,780,000
$
8,404,261 Transfer of cap due to servicing transfer
05/31/2016
$
(767,027)
$
7,637,234 Updated due to quarterly assessment and reallocation
06/16/2016
$
640,000
$
8,277,234 Transfer of cap due to servicing transfer
06/27/2016
$
(516,588)
$
7,760,646 Updated due to quarterly assessment and reallocation
07/14/2016
$
(130,000)
$
7,630,646 Transfer of cap due to servicing transfer
07/27/2016
$
(519,860)
$
7,110,786 Updated due to quarterly assessment and reallocation
08/16/2016
$
(50,000)
$
7,060,786 Transfer of cap due to servicing transfer
09/15/2016
$
640,000
$
7,700,786 Transfer of cap due to servicing transfer
09/28/2016
$
(841,593)
$
6,859,193 Updated due to quarterly assessment and reallocation
10/25/2016
$
(1,120,754)
$
5,738,439 Updated due to quarterly assessment and reallocation
11/07/2016
$
432,090
$
6,170,529 Updated due to quarterly assessment and reallocation
11/16/2016
$
(1,110,000)
$
5,060,529 Transfer of cap due to servicing transfer
11/29/2016
$
(7,581)
$
5,052,948 Updated due to quarterly assessment and reallocation
12/15/2016
$
(1,400,000)
$
3,652,948 Transfer of cap due to servicing transfer
12/27/2016
$
(908)
$
3,652,040 Transfer of cap due to servicing transfer
02/16/2017
$
(650,000)
$
3,002,040 Transfer of cap due to servicing transfer
02/27/2017
$
(14,330)
$
2,987,710 Transfer of cap due to servicing transfer
04/26/2017
$
(1,003)
$
2,986,707 Transfer of cap due to servicing transfer
06/26/2017
$
(7,718)
$
2,978,989 Transfer of cap due to servicing transfer
07/26/2017
$
(249)
$
2,978,740 Updated due to quarterly assessment and reallocation
09/26/2017
$
(552,349)
$
2,426,391 Transfer of cap due to servicing transfer
10/26/2017
$
(69,247)
$
2,357,144 Transfer of cap due to servicing transfer
12/21/2017
$
(72,138)
$
2,285,006 Transfer of cap due to servicing transfer
09/30/2009
$
(25,510,000)
$
4,220,000 Updated portfolio data from servicer/additional program initial cap
12/30/2009
$
520,000
$
4,740,000 Updated portfolio data from servicer/additional program initial cap
03/26/2010
$
4,330,000
$
04/19/2010
$
230,000
$
05/19/2010
$
850,000
$
07/14/2010
$
(850,000)
$
9,300,000 Updated portfolio data from servicer
09/15/2010
$
100,000
$
9,400,000 Transfer of cap due to servicing transfer
09/30/2010
$
100,000
$
09/30/2010
$
16,755,064
$
26,255,064 Updated portfolio data from servicer
10/15/2010
$
100,000
$
26,355,064 Transfer of cap due to servicing transfer
12/15/2010
$
100,000
$
26,455,064 Transfer of cap due to servicing transfer
01/06/2011
$
(40)
$
26,455,024 Updated due to quarterly assessment and reallocation
01/13/2011
$
300,000
$
26,755,024 Transfer of cap due to servicing transfer
02/16/2011
$
100,000
$
26,855,024 Transfer of cap due to servicing transfer
03/16/2011
$
2,200,000
$
29,055,024 Transfer of cap due to servicing transfer
03/30/2011
$
(52)
$
29,054,972 Updated due to quarterly assessment and reallocation
04/13/2011
$
1,500,000
$
30,554,972 Transfer of cap due to servicing transfer
05/13/2011
$
1,000,000
$
31,554,972 Transfer of cap due to servicing transfer
06/16/2011
$
100,000
$
31,654,972 Transfer of cap due to servicing transfer
06/29/2011
$
(534)
$
31,654,438 Updated due to quarterly assessment and reallocation
08/16/2011
$
700,000
$
32,354,438 Transfer of cap due to servicing transfer
09/15/2011
$
(600,000)
$
31,754,438 Transfer of cap due to servicing transfer
10/14/2011
$
4,000,000
$
35,754,438 Transfer of cap due to servicing transfer
11/16/2011
$
600,000
$
36,354,438 Transfer of cap due to servicing transfer
12/15/2011
$
200,000
$
36,554,438 Transfer of cap due to servicing transfer
01/13/2012
$
100,000
$
36,654,438 Transfer of cap due to servicing transfer
02/16/2012
$
1,300,000
$
37,954,438 Transfer of cap due to servicing transfer
03/15/2012
$
1,100,000
$
39,054,438 Transfer of cap due to servicing transfer
04/16/2012
$
800,000
$
39,854,438 Transfer of cap due to servicing transfer
05/16/2012
$
(1,080,000)
$
38,774,438 Transfer of cap due to servicing transfer
06/14/2012
$
1,560,000
$
40,334,438 Transfer of cap due to servicing transfer
06/28/2012
$
(465)
$
40,333,973 Updated due to quarterly assessment and reallocation
08/16/2012
$
70,000
$
40,403,973 Transfer of cap due to servicing transfer
09/27/2012
$
(1,272)
$
40,402,701 Updated due to quarterly assessment and reallocation
10/16/2012
$
2,100,000
$
42,502,701 Transfer of cap due to servicing transfer
11/15/2012
$
1,340,000
$
43,842,701 Transfer of cap due to servicing transfer
12/14/2012
$
1,160,000
$
45,002,701 Transfer of cap due to servicing transfer
12/27/2012
$
(239)
$
45,002,462 Updated due to quarterly assessment and reallocation
01/16/2013
$
210,000
$
45,212,462 Transfer of cap due to servicing transfer
02/14/2013
$
1,790,000
$
47,002,462 Transfer of cap due to servicing transfer
03/14/2013
$
1,920,000
$
48,922,462 Transfer of cap due to servicing transfer
03/25/2013
$
(960)
$
48,921,502 Updated due to quarterly assessment and reallocation
04/16/2013
$
410,000
$
49,331,502 Transfer of cap due to servicing transfer
05/16/2013
$
(60,000)
$
49,271,502 Transfer of cap due to servicing transfer
9,070,000 Updated portfolio data from servicer
9,300,000 Transfer of cap due to servicing transfer
10,150,000 Updated portfolio data from servicer/additional program initial cap
9,500,000 Updated portfolio data from servicer/additional program initial cap
140
Servicer Modifying Borrowers' Loans
Date
Name of Institution
City
Adjustment Details
State
Transaction
Type
Investment Description
Cap of Incentive Payments on
Behalf of Borrowers and to
Servicers & Lenders/Investors
(Cap) *
Pricing
Mechanism
Note
Adjustment
Date
CAP Adjustment Amount
Adjusted CAP
Reason for Adjustment
06/14/2013
$
1,620,000
$
50,891,502 Transfer of cap due to servicing transfer
06/27/2013
$
(359)
$
50,891,143 Updated due to quarterly assessment and reallocation
07/16/2013
$
2,030,000
$
52,921,143 Transfer of cap due to servicing transfer
08/15/2013
$
10,000
$
52,931,143 Transfer of cap due to servicing transfer
09/16/2013
$
2,600,000
$
55,531,143 Transfer of cap due to servicing transfer
09/27/2013
$
(135)
$
55,531,008 Updated due to quarterly assessment and reallocation
10/15/2013
$
270,000
$
55,801,008 Transfer of cap due to servicing transfer
11/14/2013
$
30,000
$
55,831,008 Transfer of cap due to servicing transfer
12/16/2013
$
9,960,000
$
65,791,008 Transfer of cap due to servicing transfer
12/23/2013
$
(239,727)
$
65,551,281 Updated due to quarterly assessment and reallocation
01/16/2014
$
2,090,000
$
67,641,281 Transfer of cap due to servicing transfer
02/13/2014
$
2,450,000
$
70,091,281 Transfer of cap due to servicing transfer
03/14/2014
$
(130,000)
$
69,961,281 Transfer of cap due to servicing transfer
03/26/2014
$
(8,837)
$
69,952,444 Updated due to quarterly assessment and reallocation
04/16/2014
$
60,000
$
70,012,444 Transfer of cap due to servicing transfer
05/15/2014
$
(460,000)
$
69,552,444 Transfer of cap due to servicing transfer
06/16/2014
$
920,000
$
70,472,444 Transfer of cap due to servicing transfer
06/26/2014
$
(103,723)
$
70,368,721 Updated due to quarterly assessment and reallocation
07/29/2014
$
(205,396)
$
70,163,325 Updated due to quarterly assessment and reallocation
08/14/2014
$
4,050,000
$
74,213,325 Transfer of cap due to servicing transfer
09/16/2014
$
420,000
$
74,633,325 Transfer of cap due to servicing transfer
09/29/2014
$
(73,587)
$
74,559,738 Updated due to quarterly assessment and reallocation
10/16/2014
$
7,390,000
$
81,949,738 Transfer of cap due to servicing transfer
11/14/2014
$
(390,000)
$
81,559,738 Transfer of cap due to servicing transfer
12/16/2014
$
4,990,000
$
86,549,738 Transfer of cap due to servicing transfer
12/29/2014
$
(8,713,039)
$
77,836,699 Updated due to quarterly assessment and reallocation
01/15/2015
$
(50,000)
$
77,786,699 Transfer of cap due to servicing transfer
02/13/2015
$
11,850,000
$
89,636,699 Transfer of cap due to servicing transfer
03/16/2015
$
11,660,000
$
101,296,699 Transfer of cap due to servicing transfer
03/26/2015
$
(4,671,888)
$
96,624,811 Updated due to quarterly assessment and reallocation
04/16/2015
$
590,000
$
97,214,811 Transfer of cap due to servicing transfer
04/28/2015
$
(18,231,781)
$
78,983,030 Updated due to quarterly assessment and reallocation
05/14/2015
$
2,100,000
$
81,083,030 Transfer of cap due to servicing transfer
06/16/2015
$
2,820,000
$
83,903,030 Transfer of cap due to servicing transfer
06/25/2015
$
(4,782,922)
$
79,120,108 Updated due to quarterly assessment and reallocation
07/16/2015
$
60,000
$
79,180,108 Transfer of cap due to servicing transfer
08/14/2015
$
2,240,000
$
81,420,108 Transfer of cap due to servicing transfer
09/16/2015
$
(430,000)
$
80,990,108 Transfer of cap due to servicing transfer
09/28/2015
$
(6,107,608)
$
74,882,500 Updated due to quarterly assessment and reallocation
10/15/2015
$
1,040,000
$
75,922,500 Transfer of cap due to servicing transfer
11/16/2015
$
3,700,000
$
79,622,500 Transfer of cap due to servicing transfer
12/16/2015
$
500,000
$
80,122,500 Transfer of cap due to servicing transfer
12/28/2015
$
(4,760,843)
$
75,361,657 Updated due to quarterly assessment and reallocation
01/14/2016
$
100,000
$
75,461,657 Transfer of cap due to servicing transfer
02/16/2016
$
570,000
$
76,031,657 Transfer of cap due to servicing transfer
02/25/2016
$
(14,691,799)
$
61,339,858 Reallocation due to MHA program deobligation
03/16/2016
$
6,270,000
$
67,609,858 Transfer of cap due to servicing transfer
03/28/2016
$
(334,912)
$
67,274,946 Updated due to quarterly assessment and reallocation
04/14/2016
$
5,270,000
$
72,544,946 Transfer of cap due to servicing transfer
05/16/2016
$
(500,000)
$
72,044,946 Transfer of cap due to servicing transfer
05/31/2016
$
(3,185,286)
$
68,859,660 Updated due to quarterly assessment and reallocation
06/16/2016
$
660,000
$
69,519,660 Transfer of cap due to servicing transfer
06/27/2016
$
(2,064,146)
$
67,455,514 Updated due to quarterly assessment and reallocation
07/14/2016
$
5,170,000
$
72,625,514 Transfer of cap due to servicing transfer
07/27/2016
$
(2,535,644)
$
70,089,870 Updated due to quarterly assessment and reallocation
08/16/2016
$
5,570,000
$
75,659,870 Transfer of cap due to servicing transfer
09/15/2016
$
3,400,000
$
79,059,870 Transfer of cap due to servicing transfer
09/28/2016
$
(7,231,925)
$
71,827,945 Updated due to quarterly assessment and reallocation
10/14/2016
$
1,060,000
$
72,887,945 Transfer of cap due to servicing transfer
10/25/2016
$
(6,774,793)
$
66,113,152 Updated due to quarterly assessment and reallocation
11/07/2016
$
2,611,921
$
68,725,073 Updated due to quarterly assessment and reallocation
11/16/2016
$
980,000
$
69,705,073 Transfer of cap due to servicing transfer
11/29/2016
$
(73,555)
$
69,631,518 Updated due to quarterly assessment and reallocation
12/15/2016
$
(420,000)
$
69,211,518 Transfer of cap due to servicing transfer
12/27/2016
$
(10,555)
$
69,200,963 Transfer of cap due to servicing transfer
01/13/2017
$
410,000
$
69,610,963 Transfer of cap due to servicing transfer
02/16/2017
$
170,000
$
69,780,963 Transfer of cap due to servicing transfer
02/27/2017
$
(148,531)
$
69,632,432 Transfer of cap due to servicing transfer
03/16/2017
$
3,060,000
$
72,692,432 Transfer of cap due to servicing transfer
141
Servicer Modifying Borrowers' Loans
Date
Name of Institution
07/17/2009 ShoreBank
Silver State Schools Credit
12/09/2009
Union
10/15/2013 SN Servicing Corporation
City
Chicago
Adjustment Details
State
IL
Transaction
Type
Purchase
Investment Description
Financial Instrument for Home Loan Modifications
Cap of Incentive Payments on
Behalf of Borrowers and to
Servicers & Lenders/Investors
(Cap) *
$
Pricing
Mechanism
Note
Baton Rouge
NV
LA
Purchase
Purchase
Financial Instrument for Home Loan Modifications
Financial Instrument for Home Loan Modifications
$
Adjusted CAP
Reason for Adjustment
$
(11,474)
$
72,680,958 Transfer of cap due to servicing transfer
06/26/2017
$
(140,759)
$
72,540,199 Transfer of cap due to servicing transfer
07/26/2017
$
(4,697)
$
72,535,502 Updated due to quarterly assessment and reallocation
09/26/2017
$
(4,797,940)
$
67,737,562 Transfer of cap due to servicing transfer
10/26/2017
$
(632,800)
$
67,104,762 Transfer of cap due to servicing transfer
12/21/2017
$
(649,369)
$
66,455,393 Transfer of cap due to servicing transfer
09/30/2009
$
890,000
$
2,300,000 Updated portfolio data from servicer/additional program initial cap
12/30/2009
$
1,260,000
$
3,560,000 Updated portfolio data from servicer/additional program initial cap
03/26/2010
$
(20,000)
$
3,540,000 Updated portfolio data from servicer
07/14/2010
$
(240,000)
$
3,300,000 Updated portfolio data from servicer
09/30/2010
$
471,446
$
3,771,446 Updated portfolio data from servicer
01/06/2011
$
(3)
$
3,771,443 Updated due to quarterly assessment and reallocation
03/30/2011
$
(4)
$
3,771,439 Updated due to quarterly assessment and reallocation
04/13/2011
$
(1,100,000)
$
2,671,439 Transfer of cap due to servicing transfer
06/29/2011
$
(38)
$
2,671,401 Updated due to quarterly assessment and reallocation
06/28/2012
$
(29)
$
2,671,372 Updated due to quarterly assessment and reallocation
09/27/2012
$
(79)
$
2,671,293 Updated due to quarterly assessment and reallocation
12/27/2012
$
(13)
$
2,671,280 Updated due to quarterly assessment and reallocation
03/25/2013
$
(50)
$
2,671,230 Updated due to quarterly assessment and reallocation
04/09/2013
$
(2,324,244)
$
01/22/2010
$
90,000
$
1,970,000 Updated portfolio data from servicer/additional program initial cap
03/26/2010
$
1,110,000
$
3,080,000 Updated portfolio data from servicer
07/14/2010
$
(1,180,000)
$
1,900,000 Updated portfolio data from servicer
09/30/2010
$
275,834
$
2,175,834 Updated portfolio data from servicer
01/06/2011
$
(2)
$
2,175,832 Updated due to quarterly assessment and reallocation
03/30/2011
$
(3)
$
2,175,829 Updated due to quarterly assessment and reallocation
06/29/2011
$
(26)
$
2,175,803 Updated due to quarterly assessment and reallocation
06/28/2012
$
(21)
$
2,175,782 Updated due to quarterly assessment and reallocation
09/27/2012
$
(57)
$
2,175,725 Updated due to quarterly assessment and reallocation
12/27/2012
$
(10)
$
2,175,715 Updated due to quarterly assessment and reallocation
03/25/2013
$
(37)
$
2,175,678 Updated due to quarterly assessment and reallocation
06/27/2013
$
(15)
$
2,175,663 Updated due to quarterly assessment and reallocation
6
07/09/2013
$
(1,889,819)
$
3
10/15/2013
$
60,000
$
12/16/2013
$
10,000
$
70,000 Transfer of cap due to servicing transfer
07/16/2014
$
170,000
$
240,000 Transfer of cap due to servicing transfer
07/29/2014
$
(544)
$
239,456 Updated due to quarterly assessment and reallocation
09/29/2014
$
(180)
$
239,276 Updated due to quarterly assessment and reallocation
10/16/2014
$
160,000
$
399,276 Transfer of cap due to servicing transfer
11/14/2014
$
20,000
$
419,276 Transfer of cap due to servicing transfer
12/16/2014
$
60,000
$
479,276 Transfer of cap due to servicing transfer
12/29/2014
$
(13,406)
$
465,870 Updated due to quarterly assessment and reallocation
01/15/2015
$
90,000
$
555,870 Transfer of cap due to servicing transfer
03/26/2015
$
(18,475)
$
537,395 Updated due to quarterly assessment and reallocation
04/28/2015
$
(72,818)
$
05/14/2015
$
1,310,000
$
1,774,577 Transfer of cap due to servicing transfer
06/16/2015
$
80,000
$
1,854,577 Transfer of cap due to servicing transfer
06/25/2015
$
(158,664)
$
1,695,913 Updated due to quarterly assessment and reallocation
07/16/2015
$
20,000
$
1,715,913 Transfer of cap due to servicing transfer
08/14/2015
$
20,000
$
1,735,913 Transfer of cap due to servicing transfer
09/16/2015
$
160,000
$
1,895,913 Transfer of cap due to servicing transfer
09/28/2015
$
(260,437)
$
1,635,476 Updated due to quarterly assessment and reallocation
10/15/2015
$
2,820,000
$
4,455,476 Transfer of cap due to servicing transfer
11/16/2015
$
990,000
$
5,445,476 Transfer of cap due to servicing transfer
12/28/2015
$
(716,235)
$
4,729,241 Updated due to quarterly assessment and reallocation
01/14/2016
$
330,000
$
5,059,241 Transfer of cap due to servicing transfer
02/16/2016
$
(80,000)
$
4,979,241 Transfer of cap due to servicing transfer
02/25/2016
$
(2,295,159)
$
2,684,082 Reallocation due to MHA program deobligation
03/16/2016
$
1,170,000
$
3,854,082 Transfer of cap due to servicing transfer
03/28/2016
$
(76,689)
$
3,777,393 Updated due to quarterly assessment and reallocation
04/14/2016
$
840,000
$
4,617,393 Transfer of cap due to servicing transfer
05/16/2016
$
390,000
$
5,007,393 Transfer of cap due to servicing transfer
05/31/2016
$
(826,282)
$
4,181,111 Updated due to quarterly assessment and reallocation
06/27/2016
$
(499,359)
$
3,681,752 Updated due to quarterly assessment and reallocation
07/14/2016
$
110,000
$
3,791,752 Transfer of cap due to servicing transfer
07/27/2016
$
(515,833)
$
3,275,919 Updated due to quarterly assessment and reallocation
08/16/2016
$
30,000
$
3,305,919 Transfer of cap due to servicing transfer
09/15/2016
$
690,000
$
3,995,919 Transfer of cap due to servicing transfer
09/28/2016
$
(1,167,343)
$
2,828,576 Updated due to quarterly assessment and reallocation
1,410,000 N/A
1,880,000 N/A
- N/A
CAP Adjustment Amount
04/26/2017
6
Las Vegas
Adjustment
Date
346,986 Termination of SPA
285,844 Termination of SPA
60,000 Transfer of cap due to servicing transfer
464,577 Updated due to quarterly assessment and reallocation
142
Servicer Modifying Borrowers' Loans
Date
Name of Institution
12/16/2009 Sound Community Bank
City
Seattle
Highlands
01/13/2010 Specialized Loan Servicing LLC
Ranch
Adjustment Details
State
WA
CO
Transaction
Type
Purchase
Purchase
Investment Description
Financial Instrument for Home Loan Modifications
Financial Instrument for Home Loan Modifications
Cap of Incentive Payments on
Behalf of Borrowers and to
Servicers & Lenders/Investors
(Cap) *
$
$
Pricing
Mechanism
440,000 N/A
64,150,000 N/A
Note
Adjustment
Date
CAP Adjustment Amount
Adjusted CAP
Reason for Adjustment
10/14/2016
$
1,510,000
$
4,338,576 Transfer of cap due to servicing transfer
10/25/2016
$
(2,130,485)
$
2,208,091 Updated due to quarterly assessment and reallocation
11/07/2016
$
821,377
$
3,029,468 Updated due to quarterly assessment and reallocation
11/16/2016
$
140,000
$
3,169,468 Transfer of cap due to servicing transfer
11/29/2016
$
(15,727)
$
3,153,741 Updated due to quarterly assessment and reallocation
12/15/2016
$
60,000
$
3,213,741 Transfer of cap due to servicing transfer
12/27/2016
$
(2,492)
$
3,211,249 Transfer of cap due to servicing transfer
01/13/2017
$
340,000
$
3,551,249 Transfer of cap due to servicing transfer
02/16/2017
$
70,000
$
3,621,249 Transfer of cap due to servicing transfer
02/27/2017
$
(50,982)
$
3,570,267 Transfer of cap due to servicing transfer
03/16/2017
$
20,000
$
3,590,267 Transfer of cap due to servicing transfer
04/26/2017
$
(3,295)
$
3,586,972 Transfer of cap due to servicing transfer
06/26/2017
$
(20,845)
$
3,566,127 Transfer of cap due to servicing transfer
07/26/2017
$
(630)
$
3,565,497 Updated due to quarterly assessment and reallocation
09/26/2017
$
(763,009)
$
2,802,488 Transfer of cap due to servicing transfer
10/26/2017
$
(92,103)
$
2,710,385 Transfer of cap due to servicing transfer
12/21/2017
$
(92,832)
$
2,617,553 Transfer of cap due to servicing transfer
01/22/2010
$
20,000
$
03/26/2010
$
1,430,000
$
1,890,000 Updated portfolio data from servicer
07/14/2010
$
(390,000)
$
1,500,000 Updated portfolio data from servicer
09/08/2010
$
(1,500,000)
03/26/2010
$
(51,240,000)
$
12,910,000 Updated portfolio data from servicer
05/14/2010
$
3,000,000
460,000 Updated portfolio data from servicer/additional program initial cap
- Termination of SPA
$
15,910,000 Transfer of cap due to servicing transfer
06/16/2010
$
4,860,000
$
20,770,000 Transfer of cap due to servicing transfer
07/14/2010
$
3,630,000
$
24,400,000 Updated portfolio data from servicer
07/16/2010
$
330,000
$
24,730,000 Transfer of cap due to servicing transfer
08/13/2010
$
700,000
$
25,430,000 Transfer of cap due to servicing transfer
09/15/2010
$
200,000
$
25,630,000 Transfer of cap due to servicing transfer
09/30/2010
$
(1,695,826)
$
23,934,174 Updated portfolio data from servicer
11/16/2010
$
200,000
$
24,134,174 Transfer of cap due to servicing transfer
01/06/2011
$
(32)
$
24,134,142 Updated due to quarterly assessment and reallocation
01/13/2011
$
1,500,000
$
25,634,142 Transfer of cap due to servicing transfer
03/16/2011
$
7,100,000
$
32,734,142 Transfer of cap due to servicing transfer
03/30/2011
$
(36)
$
32,734,106 Updated due to quarterly assessment and reallocation
04/13/2011
$
1,000,000
$
33,734,106 Transfer of cap due to servicing transfer
05/13/2011
$
100,000
$
33,834,106 Transfer of cap due to servicing transfer
06/16/2011
$
300,000
$
34,134,106 Transfer of cap due to servicing transfer
06/29/2011
$
(332)
$
34,133,774 Updated due to quarterly assessment and reallocation
08/16/2011
$
100,000
$
34,233,774 Transfer of cap due to servicing transfer
09/15/2011
$
300,000
$
34,533,774 Transfer of cap due to servicing transfer
10/14/2011
$
300,000
$
34,833,774 Transfer of cap due to servicing transfer
12/15/2011
$
(1,700,000)
$
33,133,774 Transfer of cap due to servicing transfer
01/13/2012
$
1,600,000
$
34,733,774 Transfer of cap due to servicing transfer
02/16/2012
$
100,000
$
34,833,774 Transfer of cap due to servicing transfer
03/15/2012
$
100,000
$
34,933,774 Transfer of cap due to servicing transfer
04/16/2012
$
77,600,000
$
112,533,774 Transfer of cap due to servicing transfer
05/16/2012
$
40,000
$
112,573,774 Transfer of cap due to servicing transfer
06/14/2012
$
(350,000)
$
112,223,774 Transfer of cap due to servicing transfer
06/28/2012
$
(1,058)
$
112,222,716 Updated due to quarterly assessment and reallocation
07/16/2012
$
4,430,000
$
116,652,716 Transfer of cap due to servicing transfer
08/16/2012
$
(1,280,000)
$
115,372,716 Transfer of cap due to servicing transfer
09/27/2012
$
(3,061)
$
115,369,655 Updated due to quarterly assessment and reallocation
10/16/2012
$
5,600,000
$
120,969,655 Transfer of cap due to servicing transfer
11/15/2012
$
880,000
$
121,849,655 Transfer of cap due to servicing transfer
12/14/2012
$
24,180,000
$
146,029,655 Transfer of cap due to servicing transfer
12/27/2012
$
(663)
$
146,028,992 Updated due to quarterly assessment and reallocation
01/16/2013
$
2,410,000
$
148,438,992 Transfer of cap due to servicing transfer
02/14/2013
$
6,650,000
$
155,088,992 Transfer of cap due to servicing transfer
03/14/2013
$
(1,450,000)
$
153,638,992 Transfer of cap due to servicing transfer
03/25/2013
$
(2,584)
$
153,636,408 Updated due to quarterly assessment and reallocation
04/16/2013
$
(750,000)
$
152,886,408 Transfer of cap due to servicing transfer
05/16/2013
$
(1,250,000)
$
151,636,408 Transfer of cap due to servicing transfer
06/14/2013
$
3,670,000
$
155,306,408 Transfer of cap due to servicing transfer
06/27/2013
$
(985)
$
155,305,423 Updated due to quarterly assessment and reallocation
07/16/2013
$
(3,720,000)
$
151,585,423 Transfer of cap due to servicing transfer
09/16/2013
$
(180,000)
$
151,405,423 Transfer of cap due to servicing transfer
09/27/2013
$
(346)
$
151,405,077 Updated due to quarterly assessment and reallocation
10/15/2013
$
860,000
$
152,265,077 Transfer of cap due to servicing transfer
11/14/2013
$
(410,000)
$
151,855,077 Transfer of cap due to servicing transfer
143
Servicer Modifying Borrowers' Loans
Date
Name of Institution
City
Adjustment Details
State
Transaction
Type
Investment Description
Cap of Incentive Payments on
Behalf of Borrowers and to
Servicers & Lenders/Investors
(Cap) *
Pricing
Mechanism
Note
Adjustment
Date
CAP Adjustment Amount
Fairbanks
AK
Purchase
Financial Instrument for Home Loan Modifications
$
360,000 N/A
Reason for Adjustment
12/16/2013
$
(10,160,000)
$
141,695,077 Transfer of cap due to servicing transfer
12/23/2013
$
(381,129)
$
141,313,948 Updated due to quarterly assessment and reallocation
01/16/2014
$
8,200,000
$
149,513,948 Transfer of cap due to servicing transfer
02/13/2014
$
21,910,000
$
171,423,948 Transfer of cap due to servicing transfer
03/14/2014
$
300,000
$
171,723,948 Transfer of cap due to servicing transfer
03/26/2014
$
(10,851)
$
171,713,097 Updated due to quarterly assessment and reallocation
04/16/2014
$
4,470,000
$
176,183,097 Transfer of cap due to servicing transfer
05/15/2014
$
(28,460,000)
$
147,723,097 Transfer of cap due to servicing transfer
06/16/2014
$
4,680,000
$
152,403,097 Transfer of cap due to servicing transfer
06/26/2014
$
(57,511)
$
152,345,586 Updated due to quarterly assessment and reallocation
07/16/2014
$
16,450,000
$
168,795,586 Transfer of cap due to servicing transfer
07/29/2014
$
(115,275)
$
168,680,311 Updated due to quarterly assessment and reallocation
08/14/2014
$
230,000
$
168,910,311 Transfer of cap due to servicing transfer
09/16/2014
$
(4,270,000)
$
164,640,311 Transfer of cap due to servicing transfer
09/29/2014
$
(27,454)
$
164,612,857 Updated due to quarterly assessment and reallocation
11/14/2014
$
540,000
$
165,152,857 Transfer of cap due to servicing transfer
12/29/2014
$
52,945,861
$
218,098,718 Updated due to quarterly assessment and reallocation
01/15/2015
$
(520,000)
$
217,578,718 Transfer of cap due to servicing transfer
02/13/2015
$
12,630,000
$
230,208,718 Transfer of cap due to servicing transfer
03/16/2015
$
11,890,000
$
242,098,718 Transfer of cap due to servicing transfer
03/26/2015
$
1,352,322
$
243,451,040 Updated due to quarterly assessment and reallocation
04/16/2015
$
1,050,000
$
244,501,040 Transfer of cap due to servicing transfer
04/28/2015
$
4,448,221
$
248,949,261 Updated due to quarterly assessment and reallocation
05/14/2015
$
7,170,000
$
256,119,261 Transfer of cap due to servicing transfer
06/16/2015
$
18,070,000
$
274,189,261 Transfer of cap due to servicing transfer
06/25/2015
$
18,792,626
$
292,981,887 Updated due to quarterly assessment and reallocation
07/16/2015
$
14,500,000
$
307,481,887 Transfer of cap due to servicing transfer
08/14/2015
$
1,710,000
$
309,191,887 Transfer of cap due to servicing transfer
09/16/2015
$
(390,000)
$
308,801,887 Transfer of cap due to servicing transfer
09/28/2015
$
10,523,228
$
319,325,115 Updated due to quarterly assessment and reallocation
10/15/2015
$
3,450,000
$
322,775,115 Transfer of cap due to servicing transfer
11/16/2015
$
970,000
$
323,745,115 Transfer of cap due to servicing transfer
12/16/2015
$
(210,000)
$
323,535,115 Transfer of cap due to servicing transfer
12/28/2015
$
6,558,413
$
330,093,528 Updated due to quarterly assessment and reallocation
01/14/2016
$
25,010,000
$
355,103,528 Transfer of cap due to servicing transfer
02/16/2016
$
2,470,000
$
357,573,528 Transfer of cap due to servicing transfer
02/25/2016
$
(13,592,686)
$
343,980,842 Reallocation due to MHA program deobligation
03/16/2016
$
1,040,000
$
345,020,842 Transfer of cap due to servicing transfer
03/28/2016
$
(174,419)
$
344,846,423 Updated due to quarterly assessment and reallocation
04/14/2016
$
(390,000)
$
344,456,423 Transfer of cap due to servicing transfer
05/16/2016
$
(8,920,000)
$
335,536,423 Transfer of cap due to servicing transfer
05/31/2016
$
9,566,276
$
345,102,699 Updated due to quarterly assessment and reallocation
06/16/2016
$
(2,510,000)
$
342,592,699 Transfer of cap due to servicing transfer
06/27/2016
$
3,970,965
$
346,563,664 Updated due to quarterly assessment and reallocation
07/14/2016
$
31,640,000
$
378,203,664 Transfer of cap due to servicing transfer
07/27/2016
$
(290,538)
$
377,913,126 Updated due to quarterly assessment and reallocation
08/16/2016
$
(1,540,000)
$
376,373,126 Transfer of cap due to servicing transfer
09/15/2016
$
(5,050,000)
$
371,323,126 Transfer of cap due to servicing transfer
09/28/2016
$
6,401,607
$
377,724,733 Updated due to quarterly assessment and reallocation
10/14/2016
$
180,000
$
377,904,733 Transfer of cap due to servicing transfer
10/25/2016
$
5,948,269
$
383,853,002 Updated due to quarterly assessment and reallocation
-
11/07/2016
Spirit of Alaska Federal Credit
12/09/2009
Union
Adjusted CAP
$
383,853,002 Updated due to quarterly assessment and reallocation
11/16/2016
$
25,490,000
$
409,343,002 Transfer of cap due to servicing transfer
11/29/2016
$
(144,063)
$
409,198,939 Updated due to quarterly assessment and reallocation
12/15/2016
$
11,630,000
$
420,828,939 Transfer of cap due to servicing transfer
12/27/2016
$
(12,972)
$
420,815,967 Transfer of cap due to servicing transfer
01/13/2017
$
(4,360,000)
$
416,455,967 Transfer of cap due to servicing transfer
02/16/2017
$
(37,060,000)
$
379,395,967 Transfer of cap due to servicing transfer
02/27/2017
$
23,023,777
$
402,419,744 Transfer of cap due to servicing transfer
03/16/2017
$
36,810,000
$
439,229,744 Transfer of cap due to servicing transfer
04/26/2017
$
(3,588)
$
439,226,156 Transfer of cap due to servicing transfer
06/26/2017
$
13,394,938
$
452,621,094 Transfer of cap due to servicing transfer
07/26/2017
$
(764)
$
452,620,330 Updated due to quarterly assessment and reallocation
09/26/2017
$
30,759,674
$
483,380,004 Transfer of cap due to servicing transfer
10/26/2017
$
(411,998)
$
482,968,006 Transfer of cap due to servicing transfer
12/21/2017
$
19,667,669
$
502,635,675 Transfer of cap due to servicing transfer
01/22/2010
$
10,000
$
03/26/2010
$
850,000
$
1,220,000 Updated portfolio data from servicer
07/14/2010
$
(120,000)
$
1,100,000 Updated portfolio data from servicer
370,000 Updated portfolio data from servicer/additional program initial cap
144
Servicer Modifying Borrowers' Loans
Date
Name of Institution
08/28/2009 Stanford Federal Credit Union
12/15/2010 Statebridge Company, LLC
City
Palo Alto
Denver
Adjustment Details
State
CA
CO
Transaction
Type
Purchase
Purchase
Investment Description
Financial Instrument for Home Loan Modifications
Financial Instrument for Home Loan Modifications
Cap of Incentive Payments on
Behalf of Borrowers and to
Servicers & Lenders/Investors
(Cap) *
$
Pricing
Mechanism
Note
300,000 N/A
- N/A
3
Adjustment
Date
CAP Adjustment Amount
Adjusted CAP
Reason for Adjustment
09/30/2010
$
100,000
$
1,200,000 Updated portfolio data from servicer/additional program initial cap
09/30/2010
$
105,500
$
1,305,500 Updated portfolio data from servicer
01/06/2011
$
(2)
$
1,305,498 Updated due to quarterly assessment and reallocation
02/17/2011
$
(1,305,498)
10/02/2009
$
70,000
$
370,000 Updated portfolio data from servicer/additional program initial cap
12/30/2009
$
2,680,000
$
3,050,000 Updated portfolio data from servicer/additional program initial cap
03/26/2010
$
350,000
$
3,400,000 Updated portfolio data from servicer
07/14/2010
$
(1,900,000)
$
1,500,000 Updated portfolio data from servicer
09/30/2010
$
(1,209,889)
$
290,111 Updated portfolio data from servicer
03/23/2011
$
(290,111)
12/15/2010
$
5,000,000
$
5,000,000 Transfer of cap due to servicing transfer
01/06/2011
$
(7)
$
4,999,993 Updated due to quarterly assessment and reallocation
02/16/2011
$
500,000
$
5,499,993 Transfer of cap due to servicing transfer
03/16/2011
$
100,000
$
5,599,993 Transfer of cap due to servicing transfer
03/30/2011
$
(9)
$
5,599,984 Updated due to quarterly assessment and reallocation
06/29/2011
$
(85)
$
5,599,899 Updated due to quarterly assessment and reallocation
11/16/2011
$
(2,500,000)
$
3,099,899 Transfer of cap due to servicing transfer
03/15/2012
$
200,000
$
3,299,899 Transfer of cap due to servicing transfer
06/28/2012
$
(40)
$
3,299,859 Updated due to quarterly assessment and reallocation
09/27/2012
$
(100)
$
3,299,759 Updated due to quarterly assessment and reallocation
10/16/2012
$
170,000
$
3,469,759 Transfer of cap due to servicing transfer
11/15/2012
$
(30,000)
$
3,439,759 Transfer of cap due to servicing transfer
12/14/2012
$
(80,000)
$
3,359,759 Transfer of cap due to servicing transfer
12/27/2012
$
(17)
$
3,359,742 Updated due to quarterly assessment and reallocation
01/16/2013
$
50,000
$
3,409,742 Transfer of cap due to servicing transfer
02/14/2013
$
1,240,000
$
4,649,742 Transfer of cap due to servicing transfer
03/14/2013
$
90,000
$
4,739,742 Transfer of cap due to servicing transfer
03/25/2013
$
(90)
$
4,739,652 Updated due to quarterly assessment and reallocation
04/16/2013
$
(10,000)
$
4,729,652 Transfer of cap due to servicing transfer
06/27/2013
$
(34)
$
4,729,618 Updated due to quarterly assessment and reallocation
09/27/2013
$
(13)
$
4,729,605 Updated due to quarterly assessment and reallocation
11/14/2013
$
60,000
$
4,789,605 Transfer of cap due to servicing transfer
12/23/2013
$
(21,773)
$
4,767,832 Updated due to quarterly assessment and reallocation
01/16/2014
$
(20,000)
$
4,747,832 Transfer of cap due to servicing transfer
02/13/2014
$
60,000
$
4,807,832 Transfer of cap due to servicing transfer
03/14/2014
$
(30,000)
$
4,777,832 Transfer of cap due to servicing transfer
03/26/2014
$
(770)
$
4,777,062 Updated due to quarterly assessment and reallocation
06/26/2014
$
(8,978)
$
4,768,084 Updated due to quarterly assessment and reallocation
07/16/2014
$
150,000
$
4,918,084 Transfer of cap due to servicing transfer
07/29/2014
$
(18,319)
$
4,899,765 Updated due to quarterly assessment and reallocation
08/14/2014
$
330,000
$
5,229,765 Transfer of cap due to servicing transfer
09/16/2014
$
510,000
$
5,739,765 Transfer of cap due to servicing transfer
09/29/2014
$
(7,084)
$
5,732,681 Updated due to quarterly assessment and reallocation
10/16/2014
$
1,310,000
$
7,042,681 Transfer of cap due to servicing transfer
12/16/2014
$
5,780,000
$
12,822,681 Transfer of cap due to servicing transfer
12/29/2014
$
(2,009,472)
$
10,813,209 Updated due to quarterly assessment and reallocation
03/16/2015
$
(20,000)
$
10,793,209 Transfer of cap due to servicing transfer
03/26/2015
$
(759,640)
$
10,033,569 Updated due to quarterly assessment and reallocation
04/28/2015
$
(2,994,140)
$
7,039,429 Updated due to quarterly assessment and reallocation
06/16/2015
$
30,000
$
7,069,429 Transfer of cap due to servicing transfer
06/25/2015
$
(711,743)
$
6,357,686 Updated due to quarterly assessment and reallocation
08/14/2015
$
160,000
$
6,517,686 Transfer of cap due to servicing transfer
09/16/2015
$
90,000
$
6,607,686 Transfer of cap due to servicing transfer
09/28/2015
$
(969,232)
$
5,638,454 Updated due to quarterly assessment and reallocation
10/15/2015
$
680,000
$
6,318,454 Transfer of cap due to servicing transfer
11/16/2015
$
40,000
$
6,358,454 Transfer of cap due to servicing transfer
12/16/2015
$
550,000
$
6,908,454 Transfer of cap due to servicing transfer
12/28/2015
$
(816,550)
$
6,091,904 Updated due to quarterly assessment and reallocation
02/25/2016
$
(2,359,857)
$
3,732,047 Reallocation due to MHA program deobligation
03/16/2016
$
980,000
$
4,712,047 Transfer of cap due to servicing transfer
03/28/2016
$
(72,124)
$
4,639,923 Updated due to quarterly assessment and reallocation
04/14/2016
$
300,000
$
4,939,923 Transfer of cap due to servicing transfer
05/16/2016
$
80,000
$
5,019,923 Transfer of cap due to servicing transfer
05/31/2016
$
(633,366)
$
4,386,557 Updated due to quarterly assessment and reallocation
06/27/2016
$
(362,288)
$
4,024,269 Updated due to quarterly assessment and reallocation
07/14/2016
$
150,000
$
4,174,269 Transfer of cap due to servicing transfer
07/27/2016
$
(346,056)
$
3,828,213 Updated due to quarterly assessment and reallocation
09/28/2016
$
(624,521)
$
3,203,692 Updated due to quarterly assessment and reallocation
10/14/2016
$
20,000
$
3,223,692 Transfer of cap due to servicing transfer
- Termination of SPA
- Termination of SPA
145
Servicer Modifying Borrowers' Loans
Date
Name of Institution
12/09/2009 Sterling Savings Bank
City
Spokane
Adjustment Details
State
WA
Transaction
Type
Purchase
Investment Description
Financial Instrument for Home Loan Modifications
Cap of Incentive Payments on
Behalf of Borrowers and to
Servicers & Lenders/Investors
(Cap) *
$
Pricing
Mechanism
Note
2,250,000 N/A
6
09/30/2010 Stockman Bank of Montana
Miles City
MT
Purchase
Financial Instrument for Home Loan Modifications
$
100,000 N/A
Adjustment
Date
CAP Adjustment Amount
Adjusted CAP
Reason for Adjustment
10/25/2016
$
(537,958)
$
2,685,734 Updated due to quarterly assessment and reallocation
11/07/2016
$
207,402
$
2,893,136 Updated due to quarterly assessment and reallocation
11/16/2016
$
990,000
$
3,883,136 Transfer of cap due to servicing transfer
11/29/2016
$
(11,298)
$
3,871,838 Updated due to quarterly assessment and reallocation
12/27/2016
$
(1,725)
$
3,870,113 Transfer of cap due to servicing transfer
01/13/2017
$
(100,000)
$
3,770,113 Transfer of cap due to servicing transfer
02/16/2017
$
10,000
$
3,780,113 Transfer of cap due to servicing transfer
02/27/2017
$
(28,276)
$
3,751,837 Transfer of cap due to servicing transfer
03/16/2017
$
(1,350,000)
$
2,401,837 Transfer of cap due to servicing transfer
04/26/2017
$
(1,045)
$
2,400,792 Transfer of cap due to servicing transfer
06/26/2017
$
(11,705)
$
2,389,087 Transfer of cap due to servicing transfer
07/26/2017
$
(354)
$
2,388,733 Updated due to quarterly assessment and reallocation
09/26/2017
$
(440,216)
$
1,948,517 Transfer of cap due to servicing transfer
10/26/2017
$
(60,596)
$
1,887,921 Transfer of cap due to servicing transfer
12/21/2017
$
(64,032)
$
1,823,889 Transfer of cap due to servicing transfer
01/22/2010
$
100,000
$
2,350,000 Updated portfolio data from servicer/additional program initial cap
03/26/2010
$
(740,000)
$
1,610,000 Updated portfolio data from servicer
07/14/2010
$
(710,000)
$
900,000 Updated portfolio data from servicer
09/30/2010
$
550,556
$
1,450,556 Updated portfolio data from servicer
01/06/2011
$
(1)
$
1,450,555 Updated due to quarterly assessment and reallocation
03/30/2011
$
(1)
$
1,450,554 Updated due to quarterly assessment and reallocation
06/29/2011
$
(11)
$
1,450,543 Updated due to quarterly assessment and reallocation
09/27/2012
$
30,907
$
1,481,450 Updated due to quarterly assessment and reallocation
12/27/2012
$
58,688
$
1,540,138 Updated due to quarterly assessment and reallocation
03/25/2013
$
235,175
$
1,775,313 Updated due to quarterly assessment and reallocation
06/27/2013
$
84,191
$
1,859,504 Updated due to quarterly assessment and reallocation
09/27/2013
$
13,786
$
1,873,290 Updated due to quarterly assessment and reallocation
12/23/2013
$
(35)
$
1,873,255 Updated due to quarterly assessment and reallocation
03/26/2014
$
12,095
$
1,885,350 Updated due to quarterly assessment and reallocation
06/26/2014
$
122,307
$
2,007,657 Updated due to quarterly assessment and reallocation
07/29/2014
$
22,184
$
2,029,841 Updated due to quarterly assessment and reallocation
09/29/2014
$
24,565
$
2,054,406 Updated due to quarterly assessment and reallocation
12/29/2014
$
581,882
$
2,636,288 Updated due to quarterly assessment and reallocation
03/26/2015
$
(1,034)
$
2,635,254 Updated due to quarterly assessment and reallocation
04/28/2015
$
(4,285)
$
2,630,969 Updated due to quarterly assessment and reallocation
06/25/2015
$
(6,530)
$
2,624,439 Updated due to quarterly assessment and reallocation
09/28/2015
$
(11,773)
$
2,612,666 Updated due to quarterly assessment and reallocation
12/28/2015
$
(11,798)
$
2,600,868 Updated due to quarterly assessment and reallocation
02/25/2016
$
(130,663)
$
2,470,205 Reallocation due to MHA program deobligation
03/28/2016
$
(2,930)
$
2,467,275 Updated due to quarterly assessment and reallocation
05/16/2016
$
(590,000)
$
1,877,275 Transfer of cap due to servicing transfer
05/31/2016
$
(18,881)
$
1,858,394 Updated due to quarterly assessment and reallocation
06/16/2016
$
554,145
$
2,412,539 Transfer of cap due to servicing transfer
06/27/2016
$
(15,623)
$
2,396,916 Updated due to quarterly assessment and reallocation
07/14/2016
$
(520,000)
$
07/27/2016
$
(31,749)
$
1,845,167 Updated due to quarterly assessment and reallocation
08/04/2016
$
(391,427)
$
1,453,740 Termination of SPA
09/30/2010
$
45,056
$
145,056 Updated portfolio data from servicer
06/29/2011
$
(1)
$
145,055 Updated due to quarterly assessment and reallocation
06/28/2012
$
(1)
$
145,054 Updated due to quarterly assessment and reallocation
09/27/2012
$
(2)
$
145,052 Updated due to quarterly assessment and reallocation
03/25/2013
$
(1)
$
145,051 Updated due to quarterly assessment and reallocation
12/23/2013
$
(232)
$
144,819 Updated due to quarterly assessment and reallocation
03/26/2014
$
(8)
$
144,811 Updated due to quarterly assessment and reallocation
06/26/2014
$
(96)
$
144,715 Updated due to quarterly assessment and reallocation
07/29/2014
$
(191)
$
144,524 Updated due to quarterly assessment and reallocation
09/29/2014
$
(63)
$
144,461 Updated due to quarterly assessment and reallocation
12/29/2014
$
(7,654)
$
136,807 Updated due to quarterly assessment and reallocation
03/26/2015
$
(2,879)
$
133,928 Updated due to quarterly assessment and reallocation
04/28/2015
$
(11,347)
$
122,581 Updated due to quarterly assessment and reallocation
06/25/2015
$
(2,691)
$
119,890 Updated due to quarterly assessment and reallocation
09/28/2015
$
(3,595)
$
116,295 Updated due to quarterly assessment and reallocation
12/28/2015
$
(2,660)
$
113,635 Updated due to quarterly assessment and reallocation
02/25/2016
$
(7,597)
$
106,038 Reallocation due to MHA program deobligation
03/28/2016
$
(159)
$
105,879 Updated due to quarterly assessment and reallocation
05/31/2016
$
(1,242)
$
104,637 Updated due to quarterly assessment and reallocation
06/27/2016
$
(742)
$
103,895 Updated due to quarterly assessment and reallocation
07/27/2016
$
(742)
$
103,153 Updated due to quarterly assessment and reallocation
09/28/2016
$
(1,298)
$
101,855 Updated due to quarterly assessment and reallocation
1,876,916 Transfer of cap due to servicing transfer
146
Servicer Modifying Borrowers' Loans
Date
Name of Institution
City
Suburban Mortgage Company of
08/04/2010
Albuquerque
New Mexico
01/13/2012
Sun West Mortgage Company,
Inc
04/13/2011 SunTrust Mortgage, Inc.
06/26/2009 Technology Credit Union
Cerritos
Richmond
San Jose
Adjustment Details
State
NM
CA
VA
CA
Transaction
Type
Purchase
Purchase
Purchase
Purchase
Investment Description
Financial Instrument for Home Loan Modifications
Cap of Incentive Payments on
Behalf of Borrowers and to
Servicers & Lenders/Investors
(Cap) *
$
Financial Instrument for Home Loan Modifications
- N/A
$
Note
880,000 N/A
- N/A
Financial Instrument for Home Loan Modifications
Financial Instrument for Home Loan Modifications
Pricing
Mechanism
70,000 N/A
3
3
Adjustment
Date
CAP Adjustment Amount
Adjusted CAP
Reason for Adjustment
10/25/2016
$
(1,226)
$
100,629 Updated due to quarterly assessment and reallocation
11/07/2016
$
472
$
101,101 Updated due to quarterly assessment and reallocation
11/29/2016
$
(8)
$
101,093 Updated due to quarterly assessment and reallocation
12/27/2016
$
(1)
$
101,092 Transfer of cap due to servicing transfer
02/27/2017
$
(22)
$
101,070 Transfer of cap due to servicing transfer
04/26/2017
$
(1)
$
101,069 Transfer of cap due to servicing transfer
06/26/2017
$
(11)
$
101,058 Transfer of cap due to servicing transfer
09/26/2017
$
(453)
$
100,605 Transfer of cap due to servicing transfer
10/26/2017
$
(56)
$
100,549 Transfer of cap due to servicing transfer
12/21/2017
$
(58)
$
09/30/2010
$
1,585,945
$
2,465,945 Updated portfolio data from servicer
01/06/2011
$
(4)
$
2,465,941 Updated due to quarterly assessment and reallocation
03/30/2011
$
(4)
$
2,465,937 Updated due to quarterly assessment and reallocation
06/29/2011
$
(40)
$
2,465,897 Updated due to quarterly assessment and reallocation
06/28/2012
$
(30)
$
2,465,867 Updated due to quarterly assessment and reallocation
08/10/2012
$
(2,465,867)
01/13/2012
$
100,000
08/16/2017
$
(100,000)
04/13/2011
$
06/14/2013
06/27/2013
100,491 Transfer of cap due to servicing transfer
- Termination of SPA
$
100,000 Transfer of cap due to servicing transfer
100,000
$
100,000 Transfer of cap due to servicing transfer
$
120,000
$
220,000 Transfer of cap due to servicing transfer
$
(1)
$
219,999 Updated due to quarterly assessment and reallocation
07/16/2013
$
10,000
$
229,999 Transfer of cap due to servicing transfer
12/23/2013
$
(670)
$
229,329 Updated due to quarterly assessment and reallocation
01/16/2014
$
20,000
$
249,329 Transfer of cap due to servicing transfer
02/13/2014
$
90,000
$
339,329 Transfer of cap due to servicing transfer
03/14/2014
$
50,000
$
389,329 Transfer of cap due to servicing transfer
03/26/2014
$
(38)
$
389,291 Updated due to quarterly assessment and reallocation
04/16/2014
$
60,000
$
449,291 Transfer of cap due to servicing transfer
06/26/2014
$
(486)
$
448,805 Updated due to quarterly assessment and reallocation
07/16/2014
$
70,000
$
518,805 Transfer of cap due to servicing transfer
07/29/2014
$
(989)
$
517,816 Updated due to quarterly assessment and reallocation
08/14/2014
$
30,000
$
547,816 Transfer of cap due to servicing transfer
09/29/2014
$
(358)
$
547,458 Updated due to quarterly assessment and reallocation
12/29/2014
$
(28,730)
$
518,728 Updated due to quarterly assessment and reallocation
02/13/2015
$
(20,000)
$
498,728 Transfer of cap due to servicing transfer
03/26/2015
$
(10,741)
$
487,987 Updated due to quarterly assessment and reallocation
04/28/2015
$
(42,369)
$
445,618 Updated due to quarterly assessment and reallocation
06/25/2015
$
(14,001)
$
431,617 Updated due to quarterly assessment and reallocation
08/14/2015
$
(20,000)
$
411,617 Transfer of cap due to servicing transfer
09/28/2015
$
(20,248)
$
12/28/2015
$
(14,985)
$
01/14/2016
$
2,040,000
$
2,416,384 Transfer of cap due to servicing transfer
- Termination of SPA
391,369 Updated due to quarterly assessment and reallocation
376,384 Updated due to quarterly assessment and reallocation
02/25/2016
$
250,500
$
2,666,884 Reallocation due to MHA program deobligation
03/16/2016
$
140,000
$
2,806,884 Transfer of cap due to servicing transfer
03/28/2016
$
4,517
$
2,811,401 Updated due to quarterly assessment and reallocation
05/31/2016
$
(184,936)
$
2,626,465 Updated due to quarterly assessment and reallocation
06/27/2016
$
(161,110)
$
2,465,355 Updated due to quarterly assessment and reallocation
07/27/2016
$
(162,362)
$
2,302,993 Updated due to quarterly assessment and reallocation
09/28/2016
$
(313,972)
$
1,989,021 Updated due to quarterly assessment and reallocation
10/25/2016
$
(300,637)
$
1,688,384 Updated due to quarterly assessment and reallocation
11/07/2016
$
115,906
$
1,804,290 Updated due to quarterly assessment and reallocation
11/29/2016
$
(2,939)
$
1,801,351 Updated due to quarterly assessment and reallocation
12/27/2016
$
(449)
$
1,800,902 Transfer of cap due to servicing transfer
02/27/2017
$
(7,785)
$
1,793,117 Transfer of cap due to servicing transfer
04/26/2017
$
(520)
$
1,792,597 Transfer of cap due to servicing transfer
06/26/2017
$
(4,152)
$
1,788,445 Transfer of cap due to servicing transfer
07/26/2017
$
(126)
$
1,788,319 Updated due to quarterly assessment and reallocation
09/26/2017
$
(130,330)
$
1,657,989 Transfer of cap due to servicing transfer
10/26/2017
$
(16,163)
$
1,641,826 Transfer of cap due to servicing transfer
12/21/2017
$
(16,838)
$
1,624,988 Transfer of cap due to servicing transfer
12/30/2009
$
2,180,000
$
2,250,000 Updated portfolio data from servicer/additional program initial cap
03/26/2010
$
(720,000)
$
1,530,000 Updated portfolio data from servicer
07/14/2010
$
(430,000)
$
1,100,000 Updated portfolio data from servicer
09/30/2010
$
60,445
$
1,160,445 Updated portfolio data from servicer
01/06/2011
$
(1)
$
1,160,444 Updated due to quarterly assessment and reallocation
03/30/2011
$
(1)
$
1,160,443 Updated due to quarterly assessment and reallocation
06/29/2011
$
(12)
$
1,160,431 Updated due to quarterly assessment and reallocation
06/28/2012
$
(9)
$
1,160,422 Updated due to quarterly assessment and reallocation
09/27/2012
$
(23)
$
1,160,399 Updated due to quarterly assessment and reallocation
147
Servicer Modifying Borrowers' Loans
Date
Name of Institution
12/23/2009 Tempe Schools Credit Union
12/11/2009 The Bryn Mawr Trust Co.
City
Tempe
Bryn Mawr
Adjustment Details
State
AZ
PA
Transaction
Type
Purchase
Purchase
Investment Description
Financial Instrument for Home Loan Modifications
Financial Instrument for Home Loan Modifications
Cap of Incentive Payments on
Behalf of Borrowers and to
Servicers & Lenders/Investors
(Cap) *
$
$
Pricing
Mechanism
Note
110,000 N/A
150,000 N/A
3
12/09/2009 The Golden 1 Credit Union
Sacramento
CA
Purchase
Financial Instrument for Home Loan Modifications
$
6,160,000 N/A
Adjustment
Date
CAP Adjustment Amount
Adjusted CAP
Reason for Adjustment
12/27/2012
$
(4)
$
1,160,395 Updated due to quarterly assessment and reallocation
03/25/2013
$
(13)
$
1,160,382 Updated due to quarterly assessment and reallocation
06/27/2013
$
(5)
$
1,160,377 Updated due to quarterly assessment and reallocation
09/27/2013
$
(2)
$
1,160,375 Updated due to quarterly assessment and reallocation
12/23/2013
$
(2,729)
$
1,157,646 Updated due to quarterly assessment and reallocation
03/26/2014
$
(101)
$
1,157,545 Updated due to quarterly assessment and reallocation
06/26/2014
$
(1,195)
$
1,156,350 Updated due to quarterly assessment and reallocation
07/29/2014
$
(2,373)
$
1,153,977 Updated due to quarterly assessment and reallocation
09/29/2014
$
(784)
$
1,153,193 Updated due to quarterly assessment and reallocation
12/29/2014
$
(82,551)
$
1,070,642 Updated due to quarterly assessment and reallocation
03/26/2015
$
(32,953)
$
1,037,689 Updated due to quarterly assessment and reallocation
04/28/2015
$
(123,650)
$
914,039 Updated due to quarterly assessment and reallocation
06/25/2015
$
(30,757)
$
883,282 Updated due to quarterly assessment and reallocation
09/28/2015
$
(42,234)
$
841,048 Updated due to quarterly assessment and reallocation
12/28/2015
$
(33,352)
$
807,696 Updated due to quarterly assessment and reallocation
02/25/2016
$
(126,159)
$
681,537 Reallocation due to MHA program deobligation
03/28/2016
$
(2,635)
$
678,902 Updated due to quarterly assessment and reallocation
05/31/2016
$
(22,713)
$
656,189 Updated due to quarterly assessment and reallocation
06/27/2016
$
(13,568)
$
642,621 Updated due to quarterly assessment and reallocation
07/27/2016
$
(13,572)
$
629,049 Updated due to quarterly assessment and reallocation
09/28/2016
$
(23,736)
$
605,313 Updated due to quarterly assessment and reallocation
10/25/2016
$
(22,428)
$
582,885 Updated due to quarterly assessment and reallocation
11/07/2016
$
8,647
$
591,532 Updated due to quarterly assessment and reallocation
11/29/2016
$
(400)
$
591,132 Updated due to quarterly assessment and reallocation
12/27/2016
$
(61)
$
591,071 Transfer of cap due to servicing transfer
02/27/2017
$
(1,063)
$
590,008 Transfer of cap due to servicing transfer
04/26/2017
$
(70)
$
589,938 Transfer of cap due to servicing transfer
06/26/2017
$
(536)
$
589,402 Transfer of cap due to servicing transfer
07/26/2017
$
(16)
$
589,386 Updated due to quarterly assessment and reallocation
09/26/2017
$
(7,785)
$
581,601 Transfer of cap due to servicing transfer
10/26/2017
$
(1,511)
$
580,090 Transfer of cap due to servicing transfer
12/21/2017
$
(2,200)
$
577,890 Transfer of cap due to servicing transfer
03/26/2010
$
(20,000)
$
90,000 Updated portfolio data from servicer
07/14/2010
$
10,000
$
100,000 Updated portfolio data from servicer
09/30/2010
$
45,056
$
145,056 Updated portfolio data from servicer
12/08/2010
$
(145,056)
04/21/2010
$
(150,000)
06/16/2011
$
100,000
01/22/2010
$
290,000
$
6,450,000 Updated portfolio data from servicer/additional program initial cap
03/26/2010
$
40,000
$
6,490,000 Updated portfolio data from servicer
07/14/2010
$
(2,890,000)
$
3,600,000 Updated portfolio data from servicer
09/30/2010
$
606,612
$
4,206,612 Updated portfolio data from servicer
01/06/2011
$
(4)
$
4,206,608 Updated due to quarterly assessment and reallocation
03/30/2011
$
(4)
$
4,206,604 Updated due to quarterly assessment and reallocation
06/29/2011
$
(35)
$
4,206,569 Updated due to quarterly assessment and reallocation
06/28/2012
$
(9)
$
4,206,560 Updated due to quarterly assessment and reallocation
09/27/2012
$
(14)
$
4,206,546 Updated due to quarterly assessment and reallocation
12/27/2012
$
(2)
$
4,206,544 Updated due to quarterly assessment and reallocation
03/25/2013
$
(8)
$
4,206,536 Updated due to quarterly assessment and reallocation
06/27/2013
$
(4)
$
4,206,532 Updated due to quarterly assessment and reallocation
09/27/2013
$
(1)
$
4,206,531 Updated due to quarterly assessment and reallocation
12/23/2013
$
(2,412)
$
4,204,119 Updated due to quarterly assessment and reallocation
03/26/2014
$
(84)
$
4,204,035 Updated due to quarterly assessment and reallocation
06/26/2014
$
(302)
$
4,203,733 Updated due to quarterly assessment and reallocation
07/29/2014
$
(16)
$
4,203,717 Updated due to quarterly assessment and reallocation
09/29/2014
$
20,590
$
4,224,307 Updated due to quarterly assessment and reallocation
12/29/2014
$
1,125,205
$
5,349,512 Updated due to quarterly assessment and reallocation
03/26/2015
$
(5,668)
$
5,343,844 Updated due to quarterly assessment and reallocation
04/28/2015
$
(7,804)
$
5,336,040 Updated due to quarterly assessment and reallocation
06/25/2015
$
(7,282)
$
5,328,758 Updated due to quarterly assessment and reallocation
09/28/2015
$
(6,050)
$
5,322,708 Updated due to quarterly assessment and reallocation
12/28/2015
$
(13,076)
$
5,309,632 Updated due to quarterly assessment and reallocation
02/25/2016
$
(214,916)
$
5,094,716 Reallocation due to MHA program deobligation
03/28/2016
$
(4,496)
$
5,090,220 Updated due to quarterly assessment and reallocation
05/31/2016
$
(36,694)
$
5,053,526 Updated due to quarterly assessment and reallocation
06/27/2016
$
(22,867)
$
5,030,659 Updated due to quarterly assessment and reallocation
07/27/2016
$
(29,714)
$
5,000,945 Updated due to quarterly assessment and reallocation
09/28/2016
$
(59,141)
$
4,941,804 Updated due to quarterly assessment and reallocation
10/25/2016
$
(60,623)
$
4,881,181 Updated due to quarterly assessment and reallocation
- Termination of SPA
- Termination of SPA
$
100,000 Transfer of cap due to servicing transfer
148
Servicer Modifying Borrowers' Loans
Date
Name of Institution
10/16/2014 The Provident Bank
09/09/2009 U.S. Bank National Association
City
Jersey City
Owensboro
Adjustment Details
State
NJ
KY
Transaction
Type
Purchase
Purchase
Investment Description
Cap of Incentive Payments on
Behalf of Borrowers and to
Servicers & Lenders/Investors
(Cap) *
Financial Instrument for Home Loan Modifications
Financial Instrument for Home Loan Modifications
Pricing
Mechanism
- N/A
$
Note
3
114,220,000 N/A
Adjustment
Date
CAP Adjustment Amount
Tigard
OR
Purchase
Financial Instrument for Home Loan Modifications
- N/A
3
Reason for Adjustment
11/07/2016
$
23,372
$
4,904,553 Updated due to quarterly assessment and reallocation
11/29/2016
$
(2,315)
$
4,902,238 Updated due to quarterly assessment and reallocation
12/27/2016
$
(371)
$
4,901,867 Transfer of cap due to servicing transfer
02/27/2017
$
(6,948)
$
4,894,919 Transfer of cap due to servicing transfer
04/26/2017
$
(464)
$
4,894,455 Transfer of cap due to servicing transfer
06/26/2017
$
(3,573)
$
4,890,882 Transfer of cap due to servicing transfer
07/26/2017
$
(108)
$
4,890,774 Updated due to quarterly assessment and reallocation
09/26/2017
$
(36,830)
$
4,853,944 Transfer of cap due to servicing transfer
10/26/2017
$
(5,140)
$
4,848,804 Transfer of cap due to servicing transfer
12/21/2017
$
(6,925)
$
4,841,879 Transfer of cap due to servicing transfer
10/16/2014
$
20,000
$
20,000 Transfer of cap due to servicing transfer
07/14/2016
$
10,000
$
30,000 Transfer of cap due to servicing transfer
08/16/2017
$
(30,000)
10/02/2009
$
24,920,000
$
139,140,000 Updated portfolio data from servicer/additional program initial cap
12/30/2009
$
49,410,000
$
188,550,000 Updated portfolio data from servicer/additional program initial cap
03/26/2010
$
41,830,000
$
230,380,000 Updated portfolio data from servicer
07/14/2010
$
(85,780,000)
$
144,600,000 Updated portfolio data from servicer
09/30/2010
$
36,574,444
$
181,174,444 Updated portfolio data from servicer
01/06/2011
$
(160)
$
181,174,284 Updated due to quarterly assessment and reallocation
03/30/2011
$
(172)
$
181,174,112 Updated due to quarterly assessment and reallocation
06/29/2011
$
(1,431)
$
181,172,681 Updated due to quarterly assessment and reallocation
06/28/2012
$
(746)
$
181,171,935 Updated due to quarterly assessment and reallocation
09/27/2012
$
(1,926)
$
181,170,009 Updated due to quarterly assessment and reallocation
12/27/2012
$
(308)
$
181,169,701 Updated due to quarterly assessment and reallocation
03/25/2013
$
(1,135)
$
181,168,566 Updated due to quarterly assessment and reallocation
06/27/2013
$
(418)
$
181,168,148 Updated due to quarterly assessment and reallocation
09/27/2013
$
(139)
$
181,168,009 Updated due to quarterly assessment and reallocation
12/23/2013
$
(212,077)
$
180,955,932 Updated due to quarterly assessment and reallocation
03/26/2014
$
(6,391)
$
180,949,541 Updated due to quarterly assessment and reallocation
06/26/2014
$
(71,209)
$
180,878,332 Updated due to quarterly assessment and reallocation
07/29/2014
$
(125,785)
$
180,752,547 Updated due to quarterly assessment and reallocation
09/29/2014
$
(39,094)
$
180,713,453 Updated due to quarterly assessment and reallocation
12/29/2014
$
26,402,243
$
207,115,696 Updated due to quarterly assessment and reallocation
03/26/2015
$
337,594
$
207,453,290 Updated due to quarterly assessment and reallocation
04/28/2015
$
50,708,179
$
258,161,469 Updated due to quarterly assessment and reallocation
06/16/2015
$
20,000
$
258,181,469 Transfer of cap due to servicing transfer
06/25/2015
$
1,999,564
$
260,181,033 Updated due to quarterly assessment and reallocation
09/28/2015
$
2,168,165
$
262,349,198 Updated due to quarterly assessment and reallocation
11/16/2015
$
(10,000)
$
262,339,198 Transfer of cap due to servicing transfer
12/28/2015
$
1,002,694
$
263,341,892 Updated due to quarterly assessment and reallocation
02/25/2016
$
(11,290,848)
$
252,051,044 Reallocation due to MHA program deobligation
03/16/2016
$
(180,000)
$
251,871,044 Transfer of cap due to servicing transfer
03/28/2016
$
(208,622)
$
251,662,422 Updated due to quarterly assessment and reallocation
04/14/2016
$
(90,000)
$
251,572,422 Transfer of cap due to servicing transfer
05/16/2016
$
(100,000)
$
251,472,422 Transfer of cap due to servicing transfer
05/31/2016
$
(1,039,451)
$
250,432,971 Updated due to quarterly assessment and reallocation
06/16/2016
$
(60,000)
$
250,372,971 Transfer of cap due to servicing transfer
06/27/2016
$
(258,661)
$
250,114,310 Updated due to quarterly assessment and reallocation
07/27/2016
$
(222,543)
$
249,891,767 Updated due to quarterly assessment and reallocation
09/15/2016
$
(20,000)
$
249,871,767 Transfer of cap due to servicing transfer
09/28/2016
$
4,024,610
$
253,896,377 Updated due to quarterly assessment and reallocation
10/25/2016
$
8,810,705
$
262,707,082 Updated due to quarterly assessment and reallocation
-
$
262,707,082 Updated due to quarterly assessment and reallocation
11/07/2016
05/16/2016 Umpqua Bank
Adjusted CAP
- Termination of SPA
11/16/2016
$
(20,000)
$
262,687,082 Transfer of cap due to servicing transfer
11/29/2016
$
(86,756)
$
262,600,326 Updated due to quarterly assessment and reallocation
12/15/2016
$
(20,000)
$
262,580,326 Transfer of cap due to servicing transfer
12/27/2016
$
(13,293)
$
262,567,033 Transfer of cap due to servicing transfer
02/27/2017
$
(294,444)
$
262,272,589 Transfer of cap due to servicing transfer
04/26/2017
$
(18,958)
$
262,253,631 Transfer of cap due to servicing transfer
06/26/2017
$
(141,746)
$
262,111,885 Transfer of cap due to servicing transfer
07/26/2017
$
(4,548)
$
262,107,337 Updated due to quarterly assessment and reallocation
09/26/2017
$
(95,368)
$
262,011,969 Transfer of cap due to servicing transfer
10/26/2017
$
(136,252)
$
261,875,717 Transfer of cap due to servicing transfer
12/21/2017
$
(161,622)
$
261,714,095 Transfer of cap due to servicing transfer
05/16/2016
$
590,000
$
590,000 Transfer of cap due to servicing transfer
05/31/2016
$
(5,854)
$
584,146 Updated due to quarterly assessment and reallocation
06/16/2016
$
(554,145)
$
30,001 Transfer of cap due to servicing transfer
07/14/2016
$
520,000
$
550,001 Transfer of cap due to servicing transfer
07/27/2016
$
89,907
$
639,908 Updated due to quarterly assessment and reallocation
149
Servicer Modifying Borrowers' Loans
Date
Name of Institution
01/29/2010 United Bank
10/21/2009
United Bank Mortgage
Corporation
City
Griffin
Grand Rapids
Adjustment Details
State
GA
MI
Transaction
Type
Purchase
Purchase
Investment Description
Financial Instrument for Home Loan Modifications
Financial Instrument for Home Loan Modifications
Cap of Incentive Payments on
Behalf of Borrowers and to
Servicers & Lenders/Investors
(Cap) *
$
$
Pricing
Mechanism
540,000 N/A
410,000 N/A
Note
Adjustment
Date
CAP Adjustment Amount
Adjusted CAP
Reason for Adjustment
09/28/2016
$
(5,146)
$
634,762 Updated due to quarterly assessment and reallocation
10/25/2016
$
(4,862)
$
629,900 Updated due to quarterly assessment and reallocation
11/07/2016
$
1,874
$
631,774 Updated due to quarterly assessment and reallocation
11/29/2016
$
(302)
$
631,472 Updated due to quarterly assessment and reallocation
12/27/2016
$
(56)
$
631,416 Transfer of cap due to servicing transfer
02/27/2017
$
(1,228)
$
630,188 Transfer of cap due to servicing transfer
04/26/2017
$
(81)
$
630,107 Transfer of cap due to servicing transfer
06/26/2017
$
(691)
$
629,416 Transfer of cap due to servicing transfer
07/26/2017
$
(21)
$
629,395 Updated due to quarterly assessment and reallocation
09/26/2017
$
(13,696)
$
615,699 Transfer of cap due to servicing transfer
10/26/2017
$
(1,708)
$
613,991 Transfer of cap due to servicing transfer
12/21/2017
$
(1,789)
$
612,202 Transfer of cap due to servicing transfer
03/26/2010
$
160,000
$
700,000 Updated portfolio data from servicer
09/30/2010
$
25,278
$
725,278 Updated portfolio data from servicer
01/06/2011
$
(1)
$
725,277 Updated due to quarterly assessment and reallocation
03/30/2011
$
(1)
$
725,276 Updated due to quarterly assessment and reallocation
06/29/2011
$
(11)
$
725,265 Updated due to quarterly assessment and reallocation
06/28/2012
$
(8)
$
725,257 Updated due to quarterly assessment and reallocation
09/27/2012
$
(22)
$
725,235 Updated due to quarterly assessment and reallocation
12/27/2012
$
(4)
$
725,231 Updated due to quarterly assessment and reallocation
03/25/2013
$
(14)
$
725,217 Updated due to quarterly assessment and reallocation
06/27/2013
$
(5)
$
725,212 Updated due to quarterly assessment and reallocation
09/27/2013
$
(2)
$
725,210 Updated due to quarterly assessment and reallocation
12/23/2013
$
(3,221)
$
721,989 Updated due to quarterly assessment and reallocation
03/26/2014
$
(113)
$
721,876 Updated due to quarterly assessment and reallocation
06/26/2014
$
(1,337)
$
720,539 Updated due to quarterly assessment and reallocation
07/29/2014
$
(2,655)
$
717,884 Updated due to quarterly assessment and reallocation
09/29/2014
$
(877)
$
717,007 Updated due to quarterly assessment and reallocation
12/29/2014
$
(106,224)
$
610,783 Updated due to quarterly assessment and reallocation
03/26/2015
$
(39,949)
$
570,834 Updated due to quarterly assessment and reallocation
04/28/2015
$
(20,140)
$
550,694 Updated due to quarterly assessment and reallocation
06/25/2015
$
(5,521)
$
545,173 Updated due to quarterly assessment and reallocation
09/28/2015
$
(14,152)
$
531,021 Updated due to quarterly assessment and reallocation
12/28/2015
$
(10,474)
$
520,547 Updated due to quarterly assessment and reallocation
02/25/2016
$
(58,322)
$
462,225 Reallocation due to MHA program deobligation
03/28/2016
$
(1,682)
$
460,543 Updated due to quarterly assessment and reallocation
05/31/2016
$
(14,408)
$
446,135 Updated due to quarterly assessment and reallocation
06/27/2016
$
(8,607)
$
437,528 Updated due to quarterly assessment and reallocation
07/27/2016
$
(9,730)
$
427,798 Updated due to quarterly assessment and reallocation
09/28/2016
$
(24,281)
$
403,517 Updated due to quarterly assessment and reallocation
10/25/2016
$
(30,722)
$
372,795 Updated due to quarterly assessment and reallocation
11/07/2016
$
11,845
$
384,640 Updated due to quarterly assessment and reallocation
11/29/2016
$
(365)
$
384,275 Updated due to quarterly assessment and reallocation
12/27/2016
$
(62)
$
384,213 Transfer of cap due to servicing transfer
02/27/2017
$
(1,082)
$
383,131 Transfer of cap due to servicing transfer
04/26/2017
$
(86)
$
383,045 Transfer of cap due to servicing transfer
06/26/2017
$
(781)
$
382,264 Transfer of cap due to servicing transfer
07/26/2017
$
(39)
$
382,225 Updated due to quarterly assessment and reallocation
09/26/2017
$
(56,705)
$
325,520 Transfer of cap due to servicing transfer
10/26/2017
$
(7,032)
$
318,488 Transfer of cap due to servicing transfer
12/21/2017
$
(7,952)
$
310,536 Transfer of cap due to servicing transfer
01/22/2010
$
20,000
$
430,000 Updated portfolio data from servicer/additional program initial cap
03/26/2010
$
400,000
$
830,000 Updated portfolio data from servicer
07/14/2010
$
(430,000)
$
400,000 Updated portfolio data from servicer
09/30/2010
$
180,222
$
580,222 Updated portfolio data from servicer
01/06/2011
$
(1)
$
580,221 Updated due to quarterly assessment and reallocation
03/30/2011
$
(1)
$
580,220 Updated due to quarterly assessment and reallocation
06/29/2011
$
(5)
$
580,215 Updated due to quarterly assessment and reallocation
06/28/2012
$
(4)
$
580,211 Updated due to quarterly assessment and reallocation
09/27/2012
$
(11)
$
580,200 Updated due to quarterly assessment and reallocation
12/27/2012
$
(2)
$
580,198 Updated due to quarterly assessment and reallocation
03/25/2013
$
(7)
$
580,191 Updated due to quarterly assessment and reallocation
06/27/2013
$
(2)
$
580,189 Updated due to quarterly assessment and reallocation
09/27/2013
$
(1)
$
580,188 Updated due to quarterly assessment and reallocation
12/23/2013
$
(1,471)
$
578,717 Updated due to quarterly assessment and reallocation
03/26/2014
$
(52)
$
578,665 Updated due to quarterly assessment and reallocation
06/26/2014
$
(613)
$
578,052 Updated due to quarterly assessment and reallocation
07/29/2014
$
(1,217)
$
576,835 Updated due to quarterly assessment and reallocation
09/29/2014
$
(403)
$
576,432 Updated due to quarterly assessment and reallocation
150
Servicer Modifying Borrowers' Loans
Date
09/30/2010
Name of Institution
University First Federal Credit
Union
04/13/2011 Urban Partnership Bank
12/11/2009 Verity Credit Union
City
Salt Lake City
Chicago
Seattle
Adjustment Details
State
UT
IL
WA
Transaction
Type
Purchase
Purchase
Purchase
Investment Description
Financial Instrument for Home Loan Modifications
Cap of Incentive Payments on
Behalf of Borrowers and to
Servicers & Lenders/Investors
(Cap) *
$
Financial Instrument for Home Loan Modifications
Financial Instrument for Home Loan Modifications
Pricing
Mechanism
600,000 N/A
- N/A
$
Note
600,000 N/A
3
Adjustment
Date
CAP Adjustment Amount
Adjusted CAP
Reason for Adjustment
12/29/2014
$
(33,790)
$
542,642 Updated due to quarterly assessment and reallocation
03/26/2015
$
(12,708)
$
529,934 Updated due to quarterly assessment and reallocation
04/28/2015
$
(10,375)
$
519,559 Updated due to quarterly assessment and reallocation
06/25/2015
$
(2,461)
$
517,098 Updated due to quarterly assessment and reallocation
09/28/2015
$
(5,546)
$
511,552 Updated due to quarterly assessment and reallocation
12/28/2015
$
(4,104)
$
507,448 Updated due to quarterly assessment and reallocation
02/25/2016
$
(27,664)
$
479,784 Reallocation due to MHA program deobligation
03/28/2016
$
(578)
$
479,206 Updated due to quarterly assessment and reallocation
05/31/2016
$
(4,523)
$
474,683 Updated due to quarterly assessment and reallocation
06/27/2016
$
(2,702)
$
471,981 Updated due to quarterly assessment and reallocation
07/27/2016
$
(2,702)
$
469,279 Updated due to quarterly assessment and reallocation
09/28/2016
$
(4,726)
$
464,553 Updated due to quarterly assessment and reallocation
10/25/2016
$
(4,466)
$
460,087 Updated due to quarterly assessment and reallocation
11/07/2016
$
1,722
$
461,809 Updated due to quarterly assessment and reallocation
11/29/2016
$
(227)
$
461,582 Updated due to quarterly assessment and reallocation
12/27/2016
$
(35)
$
461,547 Transfer of cap due to servicing transfer
02/27/2017
$
(601)
$
460,946 Transfer of cap due to servicing transfer
04/26/2017
$
(39)
$
460,907 Transfer of cap due to servicing transfer
06/26/2017
$
(303)
$
460,604 Transfer of cap due to servicing transfer
07/26/2017
$
(9)
$
460,595 Updated due to quarterly assessment and reallocation
09/26/2017
$
(1,197)
$
459,398 Transfer of cap due to servicing transfer
10/26/2017
$
(148)
$
459,250 Transfer of cap due to servicing transfer
12/21/2017
$
(155)
$
459,095 Transfer of cap due to servicing transfer
09/30/2010
$
270,334
$
870,334 Updated portfolio data from servicer
01/06/2011
$
(1)
$
870,333 Updated due to quarterly assessment and reallocation
02/17/2011
$
(870,333)
04/13/2011
$
1,000,000
$
1,000,000 Transfer of cap due to servicing transfer
06/29/2011
$
233,268
$
1,233,268 Updated due to quarterly assessment and reallocation
11/16/2011
$
100,000
$
1,333,268 Transfer of cap due to servicing transfer
06/28/2012
$
(3)
$
1,333,265 Updated due to quarterly assessment and reallocation
09/27/2012
$
(10)
$
1,333,255 Updated due to quarterly assessment and reallocation
12/27/2012
$
(2)
$
1,333,253 Updated due to quarterly assessment and reallocation
03/25/2013
$
(7)
$
1,333,246 Updated due to quarterly assessment and reallocation
06/27/2013
$
(3)
$
1,333,243 Updated due to quarterly assessment and reallocation
09/27/2013
$
(1)
$
1,333,242 Updated due to quarterly assessment and reallocation
12/23/2013
$
(1,744)
$
1,331,498 Updated due to quarterly assessment and reallocation
03/26/2014
$
(62)
$
1,331,436 Updated due to quarterly assessment and reallocation
06/26/2014
$
(735)
$
1,330,701 Updated due to quarterly assessment and reallocation
07/29/2014
$
(1,463)
$
1,329,238 Updated due to quarterly assessment and reallocation
09/29/2014
$
(498)
$
1,328,740 Updated due to quarterly assessment and reallocation
12/29/2014
$
(12,100)
$
1,316,640 Updated due to quarterly assessment and reallocation
03/26/2015
$
(5,115)
$
1,311,525 Updated due to quarterly assessment and reallocation
04/28/2015
$
(23,199)
$
1,288,326 Updated due to quarterly assessment and reallocation
06/25/2015
$
(5,527)
$
1,282,799 Updated due to quarterly assessment and reallocation
09/28/2015
$
(9,641)
$
1,273,158 Updated due to quarterly assessment and reallocation
12/28/2015
$
(7,135)
$
1,266,023 Updated due to quarterly assessment and reallocation
02/25/2016
$
(60,672)
$
1,205,351 Reallocation due to MHA program deobligation
03/28/2016
$
(1,267)
$
1,204,084 Updated due to quarterly assessment and reallocation
05/31/2016
$
(9,920)
$
1,194,164 Updated due to quarterly assessment and reallocation
06/27/2016
$
(5,926)
$
1,188,238 Updated due to quarterly assessment and reallocation
07/14/2016
$
(60,000)
$
1,128,238 Transfer of cap due to servicing transfer
07/27/2016
$
(2,341)
$
1,125,897 Updated due to quarterly assessment and reallocation
09/28/2016
$
(4,094)
$
1,121,803 Updated due to quarterly assessment and reallocation
10/25/2016
$
(3,868)
$
1,117,935 Updated due to quarterly assessment and reallocation
11/07/2016
$
1,491
$
1,119,426 Updated due to quarterly assessment and reallocation
11/29/2016
$
(504)
$
1,118,922 Updated due to quarterly assessment and reallocation
12/27/2016
$
(77)
$
1,118,845 Transfer of cap due to servicing transfer
02/27/2017
$
(1,336)
$
1,117,509 Transfer of cap due to servicing transfer
04/26/2017
$
(88)
$
1,117,421 Transfer of cap due to servicing transfer
06/26/2017
$
(673)
$
1,116,748 Transfer of cap due to servicing transfer
07/26/2017
$
(20)
$
1,116,728 Updated due to quarterly assessment and reallocation
09/26/2017
$
(332)
$
1,116,396 Transfer of cap due to servicing transfer
10/26/2017
$
(41)
$
1,116,355 Transfer of cap due to servicing transfer
12/21/2017
$
(43)
$
1,116,312 Transfer of cap due to servicing transfer
01/22/2010
$
30,000
$
03/26/2010
$
400,000
$
1,030,000 Updated portfolio data from servicer
07/14/2010
$
(330,000)
$
700,000 Updated portfolio data from servicer
09/30/2010
$
25,278
$
725,278 Updated portfolio data from servicer
01/06/2011
$
(1)
$
725,277 Updated due to quarterly assessment and reallocation
- Termination of SPA
630,000 Updated portfolio data from servicer/additional program initial cap
151
Servicer Modifying Borrowers' Loans
Date
Name of Institution
City
Adjustment Details
State
Transaction
Type
Investment Description
05/16/2013 ViewPoint Bank
Plano
TX
Purchase
Financial Instrument for Home Loan Modifications
03/10/2010 VIST Financial Corp
Wyomissing
PA
Purchase
Financial Instrument for Home Loan Modifications
07/29/2009 Wachovia Bank, N.A.
07/01/2009 Wachovia Mortgage, FSB
04/14/2016 WALLICK AND VOLK
04/14/2010 Wealthbridge Mortgage Corp
Charlotte
Des Moines
NC
IA
Purchase
Purchase
Financial Instrument for Home Loan Modifications
Financial Instrument for Home Loan Modifications
Cheyenne
WY
Purchase
Financial Instrument for Home Loan Modifications
Beaverton
OR
Purchase
Financial Instrument for Home Loan Modifications
12/16/2014 Webster Bank, N.A.
Cheshire
CT
Webster First Federal Credit
Union
04/13/2009 Wells Fargo Bank, NA
Worcester
MA
Purchase
Financial Instrument for Home Loan Modifications
Des Moines
IA
Purchase
Financial Instrument for Home Loan Modifications
02/13/2015
Purchase
Cap of Incentive Payments on
Behalf of Borrowers and to
Servicers & Lenders/Investors
(Cap) *
Pricing
Mechanism
- N/A
$
$
$
Financial Instrument for Home Loan Modifications
3
300,000 N/A
85,020,000 N/A
634,010,000 N/A
- N/A
$
Note
Adjustment
Date
Reason for Adjustment
$
(725,277)
05/16/2013
$
50,000
$
12/16/2013
$
10,000
$
07/14/2010
$
400,000
$
700,000 Updated portfolio data from servicer
09/30/2010
$
25,278
$
725,278 Updated portfolio data from servicer
01/06/2011
$
(1)
$
725,277 Updated due to quarterly assessment and reallocation
03/30/2011
$
(1)
$
725,276 Updated due to quarterly assessment and reallocation
06/29/2011
$
(11)
$
725,265 Updated due to quarterly assessment and reallocation
06/28/2012
$
(8)
$
725,257 Updated due to quarterly assessment and reallocation
09/27/2012
$
(22)
$
725,235 Updated due to quarterly assessment and reallocation
12/27/2012
$
(4)
$
725,231 Updated due to quarterly assessment and reallocation
03/25/2013
$
(14)
$
725,217 Updated due to quarterly assessment and reallocation
06/27/2013
$
(5)
$
725,212 Updated due to quarterly assessment and reallocation
09/27/2013
$
(2)
$
725,210 Updated due to quarterly assessment and reallocation
12/23/2013
$
(3,221)
$
721,989 Updated due to quarterly assessment and reallocation
03/26/2014
$
(113)
$
04/23/2014
$
(721,876)
09/30/2009
$
(37,700,000)
$
47,320,000 Updated portfolio data from servicer/additional program initial cap
12/30/2009
$
26,160,000
$
73,480,000 Updated portfolio data from servicer/additional program initial cap
03/26/2010
$
9,820,000
$
83,300,000 Updated portfolio data from servicer
07/14/2010
$
(46,200,000)
$
37,100,000 Updated portfolio data from servicer
09/30/2010
$
(28,686,775)
$
12/03/2010
$
(8,413,225)
09/30/2009
$
723,880,000
$
1,357,890,000 Updated portfolio data from servicer/additional program initial cap
12/30/2009
$
692,640,000
$
2,050,530,000 Updated portfolio data from servicer/additional program initial cap
- Termination of SPA
50,000 Transfer of cap due to servicing transfer
60,000 Transfer of cap due to servicing transfer
721,876 Updated due to quarterly assessment and reallocation
- Termination of SPA
8,413,225 Updated portfolio data from servicer
- Termination of SPA
02/17/2010
$
(2,050,236,344)
$
293,656 Transfer of cap due to merger/acquisition
2
03/12/2010
$
(54,767)
$
238,890 Termination of SPA
3
04/14/2016
$
30,000
$
07/14/2010
$
(150,000)
$
6,400,000 Updated portfolio data from servicer
09/15/2010
$
1,600,000
$
8,000,000 Transfer of cap due to servicing transfer
09/30/2010
$
(4,352,173)
$
3,647,827 Updated portfolio data from servicer
01/06/2011
$
(5)
$
3,647,822 Updated due to quarterly assessment and reallocation
03/30/2011
$
(6)
$
3,647,816 Updated due to quarterly assessment and reallocation
04/13/2011
$
(3,000,000)
$
647,816 Transfer of cap due to servicing transfer
06/29/2011
$
(9)
$
647,807 Updated due to quarterly assessment and reallocation
06/28/2012
$
(7)
$
647,800 Updated due to quarterly assessment and reallocation
09/27/2012
$
(19)
$
647,781 Updated due to quarterly assessment and reallocation
12/27/2012
$
(3)
$
647,778 Updated due to quarterly assessment and reallocation
03/25/2013
$
(12)
$
647,766 Updated due to quarterly assessment and reallocation
06/27/2013
$
(5)
$
647,761 Updated due to quarterly assessment and reallocation
09/27/2013
$
(2)
$
647,759 Updated due to quarterly assessment and realloc
@FedFRASER